United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2003_register executive 2010-09-23 article Rules and Regulations D09002ee1c8176a04 D09002ee1c8176a85 United States Commodity Futures Trading Commission originator org United States Government Agency or Subagency The Commodity Futures Trading Commission (Commission or CFTC) is amending rules which provide an exclusion from the definition of the term "commodity pool operator" (CPO) for certain persons, and which provide exemption from CPO and commodity trading advisor (CTA) registration, respectively, for certain other persons, so as to expand the availability of the relief provided by these rules. These amendments supercede the no-action relief the Commission previously issued with respect to the trading criteria for certain persons and the need to register as a CPO or CTA for certain other persons. The Commission also is amending its rules to facilitate communications by CPOs and CTAs, by permitting certain communications prior to Disclosure Document delivery; relieving CPOs from duplicative disclosure and reporting requirements in the "master/feeder fund" context; permitting CPOs to distribute Account Statements and Annual Reports electronically; permitting CPOs to use facsimile signatures on Account Statements and Annual Reports; and conforming various signature requirements. Further, the Commission is addressing certain issues related to the calculation and presentation of past performance by CPOs and CTAs not addressed in the recent final rulemaking on CPO and CTA past performance. 68 FR 47221 https://www.govinfo.gov/app/details/FR-2003-08-08/03-20094 03-20094 fr08au03-11 RIN 3038-AB97 6351-01-P https://www.govinfo.gov/app/details/FR-2003-08-08/03-20094 https://www.govinfo.gov/content/pkg/FR-2003-08-08/html/03-20094.htm https://www.govinfo.gov/content/pkg/FR-2003-08-08/pdf/03-20094.pdf Advertising Commodity Pool Operators Commodity Trading Advisors Commodity Futures Commodity Options Customer Protection Reporting and Recordkeeping 17 p. 47221 47237 68 FR 47221 Title 17 Part 4 17 CFR Part 4 RIN 3038-AB97 Additional Registration and Other Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors; Past Performance Issues; Federal Register Vol. 68, Issue RULE 03-20094 COMMODITY FUTURES TRADING COMMISSION 2003-08-08 6351-01-P 03-20094 Final rules.

The Commodity Futures Trading Commission (Commission or CFTC) is amending rules which provide an exclusion from the definition of the term "commodity pool operator" (CPO) for certain persons, and which provide exemption from CPO and commodity trading advisor (CTA) registration, respectively, for certain other persons, so as to expand the availability of the relief provided by these rules. These amendments supercede the no-action relief the Commission previously issued with respect to the trading criteria for certain persons and the need to register as a CPO or CTA for certain other persons. The Commission also is amending its rules to facilitate communications by CPOs and CTAs, by permitting certain communications prior to Disclosure Document delivery; relieving CPOs from duplicative disclosure and reporting requirements in the "master/feeder fund" context; permitting CPOs to distribute Account Statements and Annual Reports electronically; permitting CPOs to use facsimile signatures on Account Statements and Annual Reports; and conforming various signature requirements. Further, the Commission is addressing certain issues related to the calculation and presentation of past performance by CPOs and CTAs not addressed in the recent final rulemaking on CPO and CTA past performance.

Effective August 8, 2003 except Sec. 4.35(a)(1)(viii) which is effective September 8, 2003. For all rules other than Rule 4.35(a), Barbara S. Gold, Associate Director, or Christopher W. Cummings, Special Counsel, and for Rule 4.35(a), Kevin P. Walek, Assistant Director, or Eileen Chotiner, Futures Trading Specialist, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission, 1155 21st Street, NW., Washington, DC 20581, telephone numbers: (202) 418-5450, (202) 418-5445, (202) 418-5463, or (202) 418- 5467, respectively; facsimile number: (202) 418-5528; and electronic mail: bgold@cftc.gov, ccummings@cftc.gov, kwalek@cftc.gov or echotiner@cftc.gov, respectively. Advertising Commodity Pool Operators Commodity Trading Advisors Commodity Futures Commodity Options Customer Protection Reporting and Recordkeeping Commodity pool operators and commodity trading advisors: Registration exemption and other regulatory relief, bgold@cftc.gov ccummings@cftc.gov echotiner@cftc.gov kwalek@cftc.gov http://www.cftc.gov/cftc/cftclawreg.htm http://www.cftc.gov/foia/comment03/foi03-004_1.htm http://www.cftc.gov/foia/fedreg02/foi021028a.htm http://www.cftc.gov/foia/fedreg02/foi021113a.htm http://www.cftc.gov/foia/fedreg03/foi030317b.htm http://www.cftc.gov/opa/press02/opa4700-02.htm http://www.cftc.gov/opaletters.htm Vol. 68, no. 153 Office of the Federal Register, National Archives and Records Administration 2003-08-08 continuing daily deposited born digital 250 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2003-08-08 P0b002ee1809b171d 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr08au03 https://www.govinfo.gov/app/details/FR-2003-08-08 https://www.govinfo.gov/content/pkg/FR-2003-08-08/pdf/FR-2003-08-08.pdf https://www.govinfo.gov/content/pkg/FR-2003-08-08/xml/FR-2003-08-08.xml fdlp 47201 47439 DGPO 2010-09-23 2024-06-07 FR-2003-08-08 machine generated eng FR FR-2003-08-08 68 153