NOTICE FILING FOR EXEMPTIONS FROM POSITION AGGREGATION

Instructions

NO-ACTION RELIEF

The Division of Market Oversight has issued time-limited relief until August 12, 2019 from certain aggregation requirements under Commission Regulation 150.4, including certain requirements involving the notice filings required by Commission Regulation 150.4(c). Under the terms of the relief, market participants do not need to file a notice required by Commission Regulation 150.4(c) unless the participant receives a request from Commission or exchange staff. Participants must file such notices within five business days of receiving such a request. Any participant may choose, of its own accord during the relief period, to file a notice with the Commission prior to receiving a request for such a notice. All notice filings must be submitted to the Commission using this portal by following the instructions below.

For more information go to DMO Press Release pr7600-17.

INSTRUCTIONS

Commission Regulation 150.4 provides rules to determine which accounts and positions a person must aggregate for the purpose of determining compliance with the position limit levels found in Commission Regulation 150.2. Some persons may qualify for an exemption from the aggregation requirements. As required by Commission Regulation 150.4(c), a person wanting to qualify for the aggregation exemptions provided by Regulation 150.4 sections (b)(1)(ii), (b)(2), (b)(3), (b)(4), or (b)(7) must file a notice with the Commission that provides a description of the relevant circumstances that warrant disaggregation, and a statement certifying that, as of the date of the filing, the conditions of the applicable aggregation exemption provision have been met. Commission Regulation 150.4(c) also requires additional information to be submitted upon call by the Commission or to update or amend a previous notice in the event of a material change to the information previously provided. The notice filing requirement is effective as of Feb 14, 2017, subject to the no-action relief described above. This portal provides the method to submit these filings.

Please complete all required fields and select the [Submit] button.

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SECTION 1. NOTICE FILER AND CONTACT INFORMATION

CONTACT INFORMATION OF INDIVIDUAL FILING THE NOTICE

Provide the contact information for the natural person filing the form, which will be used in the event Commission staff has questions regarding the submission.

NAME OF ENTITY FILING AGGREGATION EXEMPTION NOTICE

The information entered in this section should be entered from the perspective of the entity filing the aggregation exemption notice. Information required to be included in the notice filing under §150.4(c) (including information about any relevant affiliated entities), should be provided in the attachments; attachments should be uploaded using the instructions below.

SECTION 2. NOTICE FILING INFORMATION

EXEMPTIONS CLAIMED

Please indicate the exemptions under which you are filing. At least one exemption must be selected. Required Field.

EFFECTIVE DATE

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SUBSEQUENT FILINGS

Under 150.4(c), any person who has previously submitted an exemption notice must: (i) provide information as requested, upon call by the Commission, demonstrating that the person meets the requirements of the exemption; and (ii) update or amend its notice in the event of a material change to the information previously provided, detailing the material change.

NOTICE FILING ATTACHMENTS

Under 150.4(c), persons seeking an aggregation exemption under § 150.4(b)(1)(ii), (b)(2), (b)(3), (b)(4), or (b)(7) must file a notice with the Commission. The notice is effective upon filing (or earlier as provided otherwise in § 150.4(c)(2)), and must include an attachment with:

(i) A description of the relevant circumstances that warrant disaggregation; and

(ii) A statement of a senior officer of the entity certifying that the conditions set forth in the applicable aggregation exemption provision have been met.

The attachments should contain the details, by affiliated entity if any, that support each claimed exemption. Notes, text descriptions, searchable tables, graphs, and pictures are acceptable.

The CFTC Portal is encrypted throughout transmission and processing. It is not necessary to password protect or encrypt uploaded files. These files will be rejected since they cannot be automatically checked for malware and viruses.

  • You may upload up to 7 separate files with each form submission.
  • Files must be 15 MB or less in size.
  • Files must be searchable.
  • Acceptable File Formats ( .doc,.docx,.dot,.xls,.xlsx,.pdf ).
  • A file name cannot contain the following special characters: * ? # % ~ & : { } | " < > " \ /
  • If more than 7 attachments are needed for your submission, please submit one form for the first 7 attachments, and submit an additional form for subsequent attachments.
  • Depending on the size of your submission, the transaction can take as long as 4 minutes.Required Field

SECTION 3. PRIVACY CERTIFICATION, VALIDATION AND CONSENT

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