Part 4 - Commodity Pool Operators and Commodity Trading Advisors  


Subpart A - General Provisions, Definitions and Exemptions
§ 4.1 - Requirements as to form.
§ 4.2 - Requirements as to filing.
§ 4.5 - Exclusion for certain otherwise regulated persons from the definition of the term “commodity pool operator.”
§ 4.6 - Exclusion for certain otherwise regulated persons from the definition of the term “commodity trading advisor.”
§ 4.7 - Exemption from certain part 4 requirements for commodity pool operators with respect to offerings to qualified eligible persons and for commodity trading advisors with respect to advising qualified eligible persons.
§ 4.8 - Exemption from certain requirements of rule 4.26 with respect to pools offered or sold in certain offerings exempt from registration under the Securities Act.
§ 4.9 - [Reserved]
§ 4.10 - Definitions.
§ 4.11 - Exemption from section 4n(3)(B).
§ 4.12 - Exemption from provisions of this part.
§ 4.13 - Exemption from registration as a commodity pool operator.
§ 4.14 - Exemption from registration as a commodity trading advisor.
§ 4.15 - Continued applicability of antifraud section.
§ 4.16 - Prohibited representations.
§ 4.17 - Severability.
§§ 4.2--4.4 - [Reserved]
§§ 4.3--4.4 - [Reserved]
Subpart B - Commodity Pool Operators
§ 4.20 - Prohibited activities.
§ 4.21 - Required delivery of pool Disclosure Document.
§ 4.22 - Reporting to pool participants.
§ 4.23 - Recordkeeping.
§ 4.24 - General disclosures required.
§ 4.25 - Performance disclosures.
§ 4.26 - Use, amendment and filing of Disclosure Document.
§ 4.27 - Additional reporting by commodity pool operators and commodity trading advisors.
Subpart C - Commodity Trading Advisors
§ 4.30 - Prohibited activities.
§ 4.31 - Required delivery of Disclosure Document to prospective clients.
§ 4.32 - [Reserved]
§ 4.33 - Recordkeeping.
§ 4.34 - General disclosures required.
§ 4.35 - Performance disclosures.
§ 4.36 - Use, amendment and filing of Disclosure Document.
Subpart D - Advertising
§ 4.40 - [Reserved]
§ 4.41 - Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.
Appendix A to Part 4 - Form CPO-PQR
Appendix B to Part 4 - Adjustments for Additions and Withdrawals in the Computation of Rate of Return
Appendix C to Part 4 - Form CTA-PR