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Title 17 → Chapter I → Part 4

TITLE 17—Commodity and Securities Exchanges

CHAPTER I—COMMODITY FUTURES TRADING COMMISSION

PART 4—COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS

rule

Subpart A—GENERAL PROVISIONS, DEFINITIONS AND EXEMPTIONS

§4.1
Requirements as to form.
§§4.2-4.4
[Reserved]
§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 part 4.
§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.
rule

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.
rule

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.
rule

Subpart D—ADVERTISING

§4.40
[Reserved]
§4.41
Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.
rule

   

Appendix
Appendix A to Part 4—Form CPO-PQR
Appendix
Appendix B to Part 4—Adjustments for Additions and Withdrawals in the Computation of Rate of Return
Appendix
Appendix C to Part 4—Form CTA-PR

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