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Code of Federal Regulations (Last Updated: May 6, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter I - Commodity Futures Trading Commission |
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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 |