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Notice I-13-04

January 28, 2013

Request for Information: MANDATORY RESPONSE FROM CPOs OPERATING A POOL THAT IS A REGISTERED INVESTMENT COMPANY

In light of recent changes to the CFTC Part 4 Regulations, NFA is requiring every CPO Member that operates a commodity pool that is also a Registered Investment Company (RIC) under the Investment Company Act of 1940 to notify NFA of this fact through the CPO's annual questionnaire by answering yes to the following question, which appears at the end of each pool's annual questionnaire.

Is this pool a Registered Investment Company?

Yes     No    


The CPO Questionnaire can be accessed at the following: http://www.nfa.futures.org/NFA-electronic-filings/annual-questionnaire.HTML.

NFA is requesting this information in order to identify those pools that do not have to comply with certain Part 4 requirements and certain NFA Rules until the Commission adopts final rules governing the compliance framework for RICs subject to the CFTC jurisdiction. Any CPO operating a pool that is also a RIC should provide NFA with this information by February 15, 2013. Please note that if the CPO's annual questionnaire is due, the CPO must complete the entire questionnaire, including the information requested above, for each pool. If you have any questions, please do not hesitate to contact Susan Koprowski, Compliance Manager (312-781-1288 or skoprowski@nfa.futures.org) or Michael Mason, Compliance Manager (312-781-1447 or mmason@nfa.futures.org).

NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.
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