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209 results found

Article

Debevoise & Plimpton LLP | USA | 30 Aug 2013

CFTC adopts harmonization rules for registered investment company CPOs; amends rules for all CPOs and CTAs

On August 12, 2013, the Commodity Futures Trading Commission (the "Commission" or "CFTC") issued final rules (the "Final Rules") 1 with respect to

Article

Eversheds Sutherland (US) LLP | USA | 13 Aug 2013

CFTC issues highly anticipated harmonization rules

Today, the Commodity Futures Trading Commission (CFTC) provided long-awaited clarification and relief to investment advisers that are registered with

Article

Arnold & Porter Kaye Scholer LLP | USA | 12 Oct 2012

CFTC publishes relief from “commodity pool” definition for Equity REITs and certain securitizations and extends rule effective date

The Division of Swap Dealers and Oversight (the Division) of the Commodities Futures Trading Commission (the CFTC) released two interpretative letters excluding from the definition of "commodity pool" (1) investment vehicles that operate in a manner consistent with the constraints set forth in Regulation AB or Investment Company Act Rule 3a-7 (Rule 3a-7) promulgated by the Securities and Exchange Commission (the SEC) and certain other requirements, and (2) equity real estate investment trusts (Equity REITs).

Article

Thompson Hine LLP | USA | 30 Mar 2012

CFTC adopts rule amendments affecting CPOs and CTAs

The Commodity Futures Trading Commission (CFTC) recently adopted amendments to Part 4 of the regulations implementing the Commodity Exchange Act (CEA).

Article

Eversheds Sutherland (US) LLP | USA | 29 Feb 2012

CFTC issues rules to increase oversight of funds that invest in commodity interests

On February 9, the Commodity Futures Trading Commission (CFTC) adopted amendments (Final Rules) to its regulations governing the registration of commodity pool operators (CPOs) and the compliance obligations of CPOs and commodity trading advisors (CTAs).

Article

Herrick Feinstein LLP | USA | 23 Feb 2012

CFTC finalizes changes to CPO and CTA registration and compliance rules

On February 9, 2012, the Commodity Futures Trading Commission ("CFTC") issued final rules that significantly alter the registration and compliance requirements of many commodity pool operators ("CPOs") and commodity trading advisors ("CTAs").

Article

Katten Muchin Rosenman LLP | USA | 22 Feb 2012

All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment

On February 9, 2012, the Commodity Futures Trading Commission adopted final amendments to its Part 4 Rules.

Article

Fried Frank Harris Shriver & Jacobson LLP | USA | 10 Feb 2012

CFTC update: registration and compliance obligations for commodity pool operators and commodity trading advisors

On February 9, 2012, the Commodity Futures Trading Commission (the “Commission” or “CFTC”) announced its adoption of extensive amendments to the Part 4 rules, which govern the operations and activities of commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) under the Commodity Exchange Act.

Article

Allen & Overy LLP | USA | 15 Nov 2011

Peering over the hedge: the new US systemic risk reporting regime

The U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) recently adopted a joint Final Rule (the Final Rule) requiring advisers to private funds to periodically report information about themselves and their funds to the SEC on Form PF.

Article

Haynes and Boone LLP | USA | 15 Nov 2011

SEC and CFTC jointly adopt Form PF

The Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) recently adopted new rules (the “Rules”) under the Investment Advisers Act of 1940 (the “Advisers Act”), and the Commodity Exchange Act (the “CEA”) that will require registered investment advisers with at least $150 million in private fund assets under management to file Form PF with the SEC.

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