Tag Archives: CFTC Rule 4.14

Attention Hedge Funds, Mutual Funds and Investment Advisers: Comment Period Open for CFTC Rules 4.5, 4.13 and 4.14

The Notice of Proposed Rulemaking has been published in the Federal Register (available here)  in respect of the proposed changes to CFTC Rules 4.5, 4.13 and 4.14 (i.e., fund and adviser exemptions from CPO and CTA registration). The comment period is open until April 12th. Thoughts will be forthcoming soon… Good day. Good writing. TSR… Continue Reading

Attention Funds and Advisers: CFTC issues NOPR for Rule 4.5, 4.13 and 4.14, et. al.

Just last night, I sat back and said to myself, "I wish that the CFTC would issue another 140+ page NOPR." Well, today they posted the NOPR in respect of CFTC Rules 4.5, 4.13, and 4.14. It has not yet been published in the Federal Register, so the comment period is not yet open. And, TSR … Continue Reading

Attention Private Hedge Funds, Registered Investment Companies and Registered Investment Advisers – The CFTC and SEC Have Proposed Rules That Will Affect You

Links to Relevant Documents; Overview of Relevance A joint SEC/CFTC Rule Proposal for Reporting on Form PF by Investment Advisers,  Commodity Trading Advisors, and Commodity Pool Operators to Private Funds available here   A Press Release and a Fact Sheet for new CFTC rule proposals that will effect mutual funds (registered investment companies), hedge funds, registered investment advisers, commodity … Continue Reading