Illegal Activity
none
Blackmail
none
Date
Unknown
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document outlines Aspen Grove Capital, LLC's exemption from registration with the CFTC as a Commodity Pool Operator (CPO) and Commodity Trading Advisor (CTA) under specific rules and conditions. It details the requirements for maintaining this exemption and the limitations on the CFTC's review of the offering.
Metadata
- Subject
- Exemption from Registration Under Commodity Exchange Act
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0098792, SDNY_GM_00244976
- Date
- —
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Aspen Grove Capital, LLC | Legal/Regulatory | CFTC | Aspen Grove Capital, LLC is seeking exemption from registration with the CFTC as a Commodity Pool Operator (CPO). |
| Aspen Grove Capital, LLC | Regulatory | NFA | Aspen Grove Capital, LLC plans to file a notice of exemption with the NFA. |
Notable Quotes 2
ALTHOUGH THE ACCESS FUND IS PERMITTED TO DIRECTLY OR INDIRECTLY TRADE COMMODITY FUTURES, SWAPS AND/OR OTHER COMMODITY INTERESTS (COLLECTIVELY, "COMMODITY INTERESTS"), THE GENERAL PARTNER IS EXEMPT FROM REGISTRATION WITH THE U.S. COMMODITY FUTURES TRADING COMMISSION ("CFTC") AS A COMMODITY POOL OPERATOR ("CPO")
THE CFTC DOES NOT PASS UPON THE MERITS OF PARTICIPATING IN A POOL OR UPON THE ADEQUACY OR ACCURACY OF AN OFFERING MEMORANDUM. CONSEQUENTLY, THE CFTC HAS NOT REVIEW OR APPROVED THIS OFFERING OR THIS MEMORANDUM.
Financial Information
Amounts:5% of the liquidation value of the Access Fund100% of the liquidation value of the Access Fund's portfolio25% or greater interest in the Access Fund
Legal Compliance
- Compliance with CFTC Rule 4.13(a)(3) and CFTC Rule 4.14(a)(5) for exemption from CPO and CTA registration, respectively.
- Requirement for investors with 25% or greater interest in the Access Fund to comply with CFTC position limits.
Raw Analysis JSON
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Themes
Financial transactions/money flowLegal matters/litigationBusiness dealingsCompliance issues
Organizations 3
Aspen Grove Capital, LLCCommodity Futures Trading Commission (CFTC)National Futures Association (NFA)
Locations 1
United States
Text Analysis
- Tone
- Formal, Legal
- Purpose
- To outline the conditions under which Aspen Grove Capital, LLC is exempt from registration with the CFTC as a Commodity Pool Operator (CPO) and Commodity Trading Advisor (CTA).
- Significance
- This document details the regulatory exemptions that Aspen Grove Capital, LLC is relying upon, which impacts the level of regulatory oversight and disclosure requirements.
File Info
- File Name
- EFTA01393285.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:50.329716
- DOJ Source
- View on DOJ