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CTA EXEMPTION LETTER AMP Global Clearing LLC Date 221 2025

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The document is a CTA Exemption Letter from AMP Global Clearing, LLC, stating that the undersigned is exempt from registration as a Commodity Trading Advisor under the Commodity Exchange Act. It outlines the basis for this exemption and includes various conditions under which the exemption applies. The signer agrees to notify if the exemption status changes and acknowledges reliance on these representations.

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What is a 4. 7 exemption?

For those of you that have no idea what a 4.7 exemption is; filing a 4.7 exemption means that a CTA is exempt from certain regulations such as filing a Disclosure Document with the National Futures Association (\u201cNFA\u201d) \u2013 but in exchange for that relief, can only accept QEP investors (Qualified Eligible Investors, which ...

What does CTA stand for trading?

A commodity trading advisor (CTA) is an individual or organization that, for compensation or profit, advises others, directly or indirectly, as to the value of or the advisability of trading futures contracts, options on futures, retail off-exchange forex contracts or swaps.

What is 4 A 2 exemption?

Section 4(a)(2) is also known as the private placement exemption and is the most widely used exemption for securities offerings in the U.S. The exemption allows an issuer to raise an unlimited amount of capital in private transactions from sophisticated investors who are able to fend for themselves.

What is the Rule 144 holding period?

What is the holding period for securities of a reporting company? Rule 144 requires a selling security holder to hold shares of a reporting company for six months after the securities are fully paid for.

What is CTA industry?

Commodity Trading Advisors (CTAs) are professional investment managers, similar to portfolio managers in mutual funds, who seek to profit from movements in the global financial, commodity, and currency markets by investing in exchange-traded futures and options and OTC forward contracts.

What is the difference between a CPO and a CTA?

A CPO is similar to a commodity trading advisor (CTA), but a CTA is an individual or firm that instead provides individualized advice regarding the buying and selling of commodities-related securities.

What products are regulated by CFTC?

The CFTC regulates the U.S. derivatives markets. This includes the commodity futures, options, and swaps markets as well as over-the-counter (OTC) markets.

What is cftc exemption?

CFTC Regulation 30.5 provides an exemption for registration for any person located outside of the U.S. who is required to be registered with the Commission under Part 30 other than a person required to be registered as a FCM.

CTA EXEMPTION LETTER AMP Global Clearing LLC Date 221 2025

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