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No-Action Letters
Date
No-Action Letters
02/24/1984
84-04 
;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to the operator of an investment company registered with the SEC. Division staff noted that it had in the past held the position that such companies were not “pools,” but that a no-action position was now a more appropriate given the language of proposed Regulation 4.5. (T&M)
;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to the operator of an investment company registered with the SEC. Division staff noted that it had in the past held the position that such companies were not “pools,” but that a no-action position was now a more appropriate given the language of proposed Regulation 4.5. (T&M)
02/24/1984
84-05 ;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to the operator of an investment company registered with the SEC. Division staff noted that it had in the past held the position that such companies were not “pools,” but that a no-action position was now a more appropriate position given the language of proposed Regulation 4.5. (T&M)
;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to the operator of an investment company registered with the SEC. Division staff noted that it had in the past held the position that such companies were not “pools,” but that a no-action position was now a more appropriate position given the language of proposed Regulation 4.5. (T&M)
07/17/1984
84-11 ;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to the operator of a registered investment company trading in futures markets. (T&M)
;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to the operator of a registered investment company trading in futures markets. (T&M)
08/01/1984
84-13 ;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to a registered investment company trading in the futures markets. (T&M)
;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to a registered investment company trading in the futures markets. (T&M)
09/07/1984
84-16 ;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to a non depository trust company trading on the behalf of separate trusts in the futures markets. (T&M)
;
Section 2(a)(1) and Regulation 4.10(d);
No-Action
The Division of Trading and Markets granted CPO registration no-action relief to a non depository trust company trading on the behalf of separate trusts in the futures markets. (T&M)
09/26/1984
84-18 ;
Regulation 166.4;
No-Action
The Division of Trading and Markets granted no-action relief from the prohibition on “non-proprietary” branch offices to an FCM and its affiliates conditioned on the FCM complying with its own proposed alternative undertakings. (T&M)
;
Regulation 166.4;
No-Action
The Division of Trading and Markets granted no-action relief from the prohibition on “non-proprietary” branch offices to an FCM and its affiliates conditioned on the FCM complying with its own proposed alternative undertakings. (T&M)
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