- 17 CFR 4.13🔍
- 17 CFR § 4.13🔍
- 17 CFR Part 4🔍
- Commodity Futures Trading Commission § 4.13🔍
- CPO and CTA Exemptions and Exclusions🔍
- CFTC Part 4 Exemption Easy Reference Guide🔍
- Exemption From Registration for Certain Foreign Persons Acting as ...🔍
- CFTC Amends Regulations Applicable to Asset Managers Including ...🔍
17 CFR § 4.13
17 CFR 4.13 -- Exemption from registration as a commodity pool ...
A person is not required to register under the Act as a commodity pool operator if: (1) (i) It does not receive any compensation or other payment, directly or ...
17 CFR § 4.13 - Exemption from registration as a commodity pool ...
A person is not required to register under the Act as a commodity pool operator if: (1) (i) It does not receive any compensation or other payment, directly or ...
17 CFR Part 4 -- Commodity Pool Operators and Commodity ... - eCFR
(ii) The total gross capital contributions it receives for units of participation in all of the pools it operates or that it intends to operate do not in the ...
Commodity Futures Trading Commission § 4.13 - GovInfo
skersey on DSK4WB1RN3PROD with CFR. Page 4. 254. 17 CFR Ch. I (4–1–23 Edition). § 4.13 where such registration was granted; and. (iv) Be filed by a ...
Commodity Futures Trading Commission § 4.13 - GovInfo
17 CFR Ch. I (4–1–12 Edition). § 4.13. (ii) The total gross capital contribu- tions it receives for units of participa- tion in all of the pools it operates ...
No-Action Relief related failure to register with the Commission as a CPO against a CPO that is a Family Office within the meaning and intent of 17 CFR § ...
CPO and CTA Exemptions and Exclusions
Rule 4.13 ( 17 C.F.R. � 4.13) makes available an exemption from commodity pool operator registration for certain persons. Broadly speaking, these persons ...
CFTC Part 4 Exemption Easy Reference Guide | NFA
Exemptions from CPO Registration. 4.13(a)(1) - Pool exemption for CPOs that operate one pool at a time ... Who Qualifies: An entity acting as a pool operator ...
Exemption From Registration for Certain Foreign Persons Acting as ...
Commission regulations referred to herein are found at 17 CFR Chapter I (2019). ... See, e.g.,17 CFR 4.13(e)(2) and 4.13(f). Back to Citation. 71.
CFTC Amends Regulations Applicable to Asset Managers Including ...
The CFTC also adopted a technical amendment to Rule 4.13(a)(3). ... See 17 CFR § 230.144A. CFTC No-Action Letter No. 14-116, available ...
Registration and Compliance Requirements for Commodity Pool ...
... 17 CFR 4.13(b)(1). Therefore, persons who, as of the Final Rule's ... compliance with Regulation 4.13 through additional compliance time.
Exemption from registration as a commodity pool operator.
... Federal Regulations and the Customs Import and Export Regulations in the US ... source: 46 FR 26013, May 8, 1981, unless otherwise noted. cite as: 17 CFR 4.13.
CFTC Invalidates CPO Registration for 17 Non-US Entities, Adopts ...
Compliance with the final rule is generally required through the existing notice filing under CFTC Regulation 4.13(b)(1) (17 C.F.R. § 4.13(b)(1)). Persons ...
− Rules under the CEA are codified in Title 17 of the Code of Federal Regulations ... • CFTC Rule 4.13(a)(3) provides a commodity pool ...
CLEARY GOTTLIEB STEEN & HAMILTON LLP October ... - SEC.gov
17 CFR 4.13(a)(3)(i). 16. 17 CFR 4.7(b). 17. 57 FR 34853 (August ... 17 CFR 4.13(a)(3)(iii)(.A). 28. 77 FR 11252, 11261 (February 24, 2012) ...
17 CFR § 48.4 - Registration eligibility and scope. - Law.Cornell.Edu
... 4.13 or § 4.14 of this chapter, and are submitting orders for execution on behalf of a United States pool that the member or other participant operates or ...
Proskauer's Hedge Start: When Is CFTC Registration Necessary?
... (CFTC) will be required. Limited Trading Exemption CFTC Rule 4.13(a)(3), which is often referred to as the “limited trading exemption,”...
Reliance on the 4.13(a)(3) Exemption from Registration as a ...
I. Introduction The Commodity Futures Trading Commission (the "CFTC") recently approved amendments to various CFTC regulations relating to ...
Exemptions from the CPO/CTA registration requirement are described in CFTC Rules 4.5, 4.13, and 4.14. 17 C.F.R. §§ 4.5,. 4.13, 4.14; see also 7 ...
... 17 CFR 4.5 and/or an exemption from CPO registration in 17 CFR 4.13. See 17 CFR 4.27(b)(2)(i). GAAP: The term “GAAP” means U.S. Generally Accepted ...