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[A1]
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Electronic Code of Federal Regulations
| e-CFR data is current as of January 16, 2020
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
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| Exclusion for certain otherwise regulated persons from the definition of the term “commodity pool operator.” |
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| Exclusion for certain otherwise regulated persons from the definition of the term “commodity trading advisor.” |
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| 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. |
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| 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. |
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| Exemption from section 4n(3)(B). |
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| Exemption from provisions of part 4. |
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| Exemption from registration as a commodity pool operator. |
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| Exemption from registration as a commodity trading advisor. |
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| Continued applicability of antifraud section. |
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| Prohibited representations. |
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Subpart B—COMMODITY POOL OPERATORS
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| Required delivery of pool Disclosure Document. |
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| Reporting to pool participants. |
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| General disclosures required. |
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| Use, amendment and filing of Disclosure Document. |
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| Additional reporting by commodity pool operators and commodity trading advisors. |
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Subpart C—COMMODITY TRADING ADVISORS
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| Required delivery of Disclosure Document to prospective clients. |
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| General disclosures required. |
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| Use, amendment and filing of Disclosure Document. |
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Subpart D—ADVERTISING
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| Advertising by commodity pool operators, commodity trading advisors, and the principals thereof. |
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