Shearman & Sterling LLP multinational law firm headquartered in New York City, United States.

Sep 19, 2014

CFTC Staff Issues Exemptive Letter Facilitating Broader Marketing of Certain Commodity Pools

配信申込

ジャンプリンクテキスト

 
On September 9, 2014, the Division of Swap Dealer and Intermediary Oversight (“Division”) of the US Commodity Futures Trading Commission (“CFTC”) issued an exemptive letter (“Letter”) harmonizing certain CFTC restrictions on the marketing of commodity pools with recent US Securities and Exchange Commission (“SEC”) rulemaking permitting general solicitation and general advertising in connection with certain unregistered securities offerings. Specifically, the Letter will enable commodity pool operators (“CPOs”) to rely on the broad regulatory relief of CFTC Rule 4.7(b) and the CPO registration exemption in CFTC Rule 4.13(a)(3), even though interests in the applicable commodity pools may be marketed to the public.

View full memo, CFTC Staff Issues Exemptive Letter Facilitating Broader Marketing of Certain Commodity Pools

著者等

John (Sean) Finley

パートナー

ファンド

+1 212 848 4346

+1 212 848 4346

ニューヨーク

Nathan Greene

パートナー

ファンド

+1 212 848 4668

+1 212 848 4668

ニューヨーク

Nhung Pham

アソシエイト

ファンド

+1 212 848 7885

+1 212 848 7885

ニューヨーク

© Shearman & Sterling 2019 | Attorney Advertising