Cftc regulation 4.13 a 2
WebFeb 10, 2012 · CFTC Rule 4.13(a)(4) and Rule 4.13(a)(3) Exemptions. The CFTC had proposed to rescind the exemptions available to persons that operate pools exempt from … WebJan 17, 2024 · require firms claiming an exemption from CPO registration under CFTC Rule 4.13 to certify that neither they nor their principals are subject to a statutory disqualification under the CEA....
Cftc regulation 4.13 a 2
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WebThe CFTC Rule 4.13(a)(3) de minimis exemption exempts from registration commodity pools with aggregate initial margin, premiums, and required minimum deposits in futures and swaps, less than five percent of the liquidation value of the fund’s portfolio, further requiring that the net notional value of positions in CFTC regulated instruments ... Web4.13(a)(2) (Pool level for Exempt CPO) Exemption provides an entity relief from CPO registration An entity acting as a Pool Operator 4.13(a)(3) (Pool level for Exempt CPO) …
WebJan 4, 2012 · • Rule 4.13 (a) (4): CPOs operating a commodity pool (ie, fund) whose participants/shareholders are all qualified eligible persons (QEPs) were able to claim exemption from CFTC registration. The definition of a QEP has 24 different categories, including participants that are ‘qualified purchasers’ or ‘knowledgeable employees’. WebAug 6, 2024 · The CFTC on June 4, 2024 unanimously approved an important final amendment to Regulation 4.13 under the Commodity Exchange Act (CEA). 1 This …
WebJul 13, 2024 · CFTC Adopts Amendment to Rule 4.13 to Prevent “Bad Actors” from Cla... PDF Share Client memorandum July 13, 2024 This communication is for general information only. It is not intended, nor should it be relied upon, as legal advice. In some jurisdictions, this may be considered attorney advertising. Web99-41; Rule 4.13(a)(2);;No-Action. The Division of Trading and Markets exempted two CPOs from the $200,000 limitation on total gross capital contributions of Rule 4.13(a)(2)(i), …
WebNov 13, 2024 · The CFTC proposes to amend CFTC Regulation 4.13 (which provides exemptions from CPO registration) so that a CPO would not have to register as a CPO with respect to any of its offshore pools for which the CPO solicits and/or accepts funds only from persons located outside the U.S.
WebFeb 28, 2012 · On February 9, 2012, the U.S. Commodity Futures Trading Commission (CFTC) rescinded CFTC Rule 4.13 (a) (4), which is the exemption from CFTC registration as a Commodity Pool Operator (CPO) that is commonly used by general partners, managers and sponsors of private funds that trade futures. 15式戦車WebThe CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO … 15式坦克模型Web17 CFR § 4.13 - Exemption from registration as a commodity pool operator. Electronic Code of Federal Regulations (e-CFR) US Law LII / Legal Information Institute. LII. … 15式主战坦克图片WebDec 19, 2024 · Prior to the Amendments, many RICs had been listed as both the excluded CPO in Rule 4.5(a)(1) and a “qualifying entity” with respect to which a CPO may claim an … 15式機雷WebAll books and records shall be maintained in accordance with § 1.31. All books and records required by this section except those required by paragraphs (a) (3), (a) (4), (b) (1), (b) … 15式坦克多少吨WebRule 4.13(a)(3) in determining whether their operators must register as CPOs? A member of the CFTC staff has said that a new version of the Appendix will be republished and will … 15式坦克数据WebThe final rules also amend a number of CFTC Regulations to require CPOs and CTAs that claim an exemption under CFTC Regulation 4.5, 4.13 (a) (1), 4.13 (a) (2), 4.13 (a) (3), 4.13 (a) (5) and 4.14 (a) (8) to annually reaffirm the applicable notice of exemption. CPOs and CTAs will have 60 days after the calendar year-end to reaffirm the notice of ... 15式新型轻型坦克