Code of Federal Regulations (Last Updated: October 10, 2024) |
Title 17 - Commodity and Securities Exchanges |
Chapter I - Commodity Futures Trading Commission |
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.” |
§ 4.8 - 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 |