CFTC Allows General Solicitations for Certain Exempt Commodity Pools to Align with SEC Regulation D and Rule 144A

September 12, 2014
Client Alert

The staff of the Commodity Futures Trading Commission recently issued relief for certain exempt commodity pool operators that permits general solicitation and general advertising in connection with offerings of commodity pools. The relief better aligns CPO exemptions in CFTC Regulations 4.7(b) and 4.13(a)(3) with changes made to Securities and Exchange Commission Rules 506 and 144A under the Jumpstart Our Business Startups Act. This Client Alert summarizes the relief and the conditions that CPOs must meet to rely on the relief.

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