Régulation des marchés · 17/08/19941 min de lecture
Limited Marketing Activities From a United States Location by Certain Firms and Their Employees or Other Representatives Exempted Under Commodity Futures Trading Commission Rule 30.10
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Résumé
The Commodity Futures Trading Commission (``Commission'' or ``CFTC''), subject to the conditions specified below, is expanding the category of persons to whom firms operating pursuant to the Limited Marketing Order issued on October 28, 1992 may direct limited marketing conduct with respect to foreign futures or option contracts within the United States through their employees or other representatives. The relief as originally issued was limited to conduct directed towards institutions and governmental entities identified in condition 5 of the Limited Marketing Order whose description in terms of status and assets has been derived generally from the definition of ``qualified eligible participant'' (``QEP'') as that term is defined in Commission rule 4.7(a)(1)(ii), 17 CFR 4.7(a)(1)(ii). This Order will expand the relief to conduct directed towards all ``accredited investors'' as that term is defined in the Securities and Exchange Commission's (``SEC'') Regulation D issued pursuant to the Securities Act of 1933.