On September 9, 2014, the CFTC issued the following exemptive letters: 

  • The CFTC’s DSIO issued a letter providing relief from certain  provisions of CFTC regulations restricting marketing to the public in  order to harmonize such regulations with amendments to the Jumpstart  our Business Startups (“JOBS”) Act which permits general solicitation  or advertising subject to specific conditions. 

The full text of the CFTC exemptive letter is available at:

http://www.cftc.gov/ucm/groups/public/@lrlettergeneral/documents/lette r/14-116.pdf

  • The CFTC’s DSIO issued a letter providing exemptive relief for certain  registered commodity pool operators (“CPOs”) from filing CFTC  Form CPO-PQR. The relief is available for CPOs that are registered but  have no reporting obligations under part 4 of the CFTC’s regulations. 

The full text of the CFTC exemptive letter is available at:

http://www.cftc.gov/ucm/groups/public/@lrlettergeneral/documents/lette r/14-115.pdf

  • The CFTC’s DSIO issued an exemptive letter providing relief to CPOs  and expanding the list of permissible third-party record-keepers that  CPOs may use. The relief allows CPOs to use additional record-keepers  beyond those specifically listed in CFTC regulations 4.7(b)(4) and  4.23(c).

The full text of the CFTC exemptive letter is available at: 

http://www.cftc.gov/ucm/groups/public/@lrlettergeneral/documents/lette r/14-114.pdf