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November 3, 1997
The Filing of Exclusion and Exemption Notices Pursuant to CFTC Regulations 4.5, 4.7, 4.12(b), 4.13, 4.14(a)(8), and Advisory 18-96.
Effective November 1, 1997, NFA is authorized to process the following filings, notices and claims allowed by the CFTC Regulations listed below:
1) Notices of eligibility for exclusion for certain otherwise regulated persons from the definition of CPO, pursuant to Regulation 4.5;
2) Notices of claim for exemption from certain Part 4 requirements with respect to commodity pools and CTAs whose participants or clients are qualified eligible participants or qualified eligible clients, respectively, pursuant to Regulation 4.7;
3) Claims of exemption from certain Part 4 requirements for CPOs with respect to pools that principally trade securities, pursuant to Regulation 4.12(b);
4) Statements of exemption from registration as a CPO, pursuant to Regulation 4.13;
5) Notices of exemption from registration as a CTA for certain persons registered as an investment advisor, pursuant to Regulation 4.14(a)(8);
6) Notices of claim for exemption from provisions of Part 4 for certain registered CPOs operating offshore pools, pursuant to Advisory 18-96.
Individuals and/or entities that are subject to any of the above mentioned exemptions should send the required notices to National Futures Association at 200 West Madison Avenue, Chicago, Illinois 60606, Attn: Compliance Department. In addition, copies of all notices or claims filed with NFA should continue to be filed with the CFTC.
NFA will review all filings in accordance with the standards established by Part 4 of the regulations. Those filings that comply with said regulations will be accepted upon filing. For those filings that don't comply, NFA staff will notify the party that submitted the notice of any deficiencies by letter.
If you have any questions regarding this notice, please contact Maria McHenry of NFA's Compliance Department at (312) 781- 2237.