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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Diana Lo ordered by Published Date Descending.
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CFTC 4.13(a)(3) Annual Affirmations Due February 29
As a reminder, fund managers relying on the exemption from registration with the US Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3)...
United States
17 Feb 2016
2
CFTC 4.13(a)(3) Annual Affirmations Due March 2
As a reminder, fund managers relying on the exemption from registration with the US CFTC set forth in Rule 4.13(a)(3) must affirm their claim of exemption by March 2, 2015.
United States
10 Feb 2015
3
CFTC 4.13(a)(3) Annual Affirmations Due March 3, 2014
As a reminder, fund managers relying on the exemption from registration with the US Commodity Futures Trading Commission set forth in Rule 4.13(a)(3), commonly referred to as the "de minimis exemption," must affirm their claim of exemption by March 3, 2014.
United States
3 Mar 2014
4
Recent CFTC Changes And Looming Deadlines
Investment managers who invest in futures or swaps are reminded that important registration and/or filing deadlines with the U.S. Commodity Futures Trading Commission (the "CFTC") are quickly approaching.
United States
27 Nov 2012
5
CFTC Eliminates Rule 4.13(a)(4) Exemption From Registration
The U.S. Commodity Futures Trading Commission (the "CFTC") has adopted a final rule that rescinds the exemption from registration as a commodity pool operator currently available under CFTC Rule 4.13(a)(4).
United States
17 Feb 2012
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