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CFTC Harmonizes CPO Regulations with JOBS Act General Solicitation Rules
Practices
People
September 11, 2014 download PDF
On September 9, 2014, the Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission issued exemptive relief from certain CFTC Regulations to now allow commodity pool operators relying on the "de minimis" exemption from registration under Regulation 4.13(a)(3) or the relief from certain compliance requirements under Regulation 4.7 to engage in general solicitation under certain specified circumstances.