NOTICE OF CLAIM PURSUANT TO CFTC REGULATION 4.14(a)(8)
Under the Commodity Exchange Act, As Amended WRICE FINANCIAL GROUP (the “Claimant”), hereby files this NOTICE OF CLAIM pursuant to Commodity Futures Trading Commission (“CFTC”) Regulation 4.14(a)(8).
Claimant Information
Name: WRICE FINANCIAL GROUP LLC
Address: 110 N Upper Wacker Dr, SUITE 2500, CHICAGO, IL 60606, UNITED STATES
Telephone: 312-453-7315 Email: INFO@WRICEFINANCIAL.COM
Exemption Filed Under
[X] 4.14(a)(8)(i)(D) The CPO has claimed an exemption from registration under 4.13(a)(3), or, if registered as a CPO, may treat each pool it operates that meets the criteria of 4.13(a)(3) as if it were not so registered.
Declaration
The Claimant will provide commodity interest advice to its clients in accordance with the above exemption. Such advice is solely incidental to its business of providing securities or other investment advice to qualifying entities, collective investment vehicles, and commodity pools. The Claimant does not hold itself out to the public as a Commodity Trading Advisor (CTA).