CPO and CTA Exemptions and Exclusions

Persons desiring to claim an exclusion from the CPO definition under Rule 4.5 must file a notice of eligibility with the National Futures Association.

Exemptions | NFA - National Futures Association

Commodity pool operators (CPO) and commodity trading advisors (CTA) must electronically file with NFA notices of exclusion or exemption from CFTC Part 4 ...

CFTC Part 4 Exemption Easy Reference Guide | NFA

Exemptions from CPO Registration · Exemption from CTA Registration · Exemptions that provide relief to registered CPOs from certain regulatory requirements ...

NFA issues guidance on annual CPO / CTA affirmation | Perspectives

CFTC regulations also require a person or entity claiming an exemption or exclusion from CPO or CTA registration under CFTC regulation 4.5, 4.13 ...

New Year, New CPO/CTA Exemption Affirmations and CPO FinCEN ...

If you rely on an exemption or exclusion from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5) or 4.5, or ...

CFTC Amends Regulations Applicable to Asset Managers Including ...

The Amendments may affect many asset managers, including those that are excluded or exempt from registration as commodity pool operators (CPOs) and commodity ...

CFTC Adopts Final Rules Clarifying CPO and CTA Exemptions for ...

CFTC Adopts Final Rules Clarifying CPO and CTA Exemptions for Family Offices, BDCs · Related Professionals · Related Practices · Related Offices.

Registration and Compliance Requirements for Commodity Pool ...

For the reasons discussed in the Proposal, the Commission is adding the CPO and CTA exemptions for Family Offices, with procedural modifications ...

US Commodity Pool and Commodity Pool Operator Regulation

What exclusions and exemptions apply to CPOs and CTAs? Page 30. 30 ... granted to family offices from CPO and CTA registration through CFTC ...

action to be taken by 01 March 2018 to continue CPO and CTA ...

Managers claiming exemption or exclusion from CPO or CTA registration under certain CFTC Regulations must affirm their notice of exemption or exclusion by ...

CFTC Adopts Final Rule Revisions on CPO and CTA Exemptions ...

CFTC Adopts Final Rule Revisions on CPO and CTA Exemptions and Exclusions From Compliance Obligations · TOPICS. Commodity Pool Operators and ...

Exemption From Registration for Certain Foreign Intermediaries

The Final Rule provides that the exemption under the applicable Commission regulation for foreign located persons acting as a CPO (a non-US CPO) on behalf of ...

CFTC Simplifies, Codifies and Harmonizes Part 4 Requirements for ...

... excluded CPO for the RIC.16. In addition, the Commission adopted an ... exempt CPO and relies on the CTA exemptions available for such CPOs.

Annual CPO or CTA Exemption or Exclusion Affirmations Due by ...

Generally, CFTC Regulation 4.14(a)(10) exempts an advisor that has not furnished commodity trading advice to more than 15 persons in the ...

New Year Brings New Responsibilities for Some Asset Managers ...

Failure to affirm an exemption from CPO or CTA registration will result in the exemption being withdrawn automatically. For registered CPOs or ...

Guidance on CPO and CTA Annual Affirmations Requirements Due ...

The guidance states that failure by a member to affirm such active exemption or exclusion from CPO or CTA registration by February 29, 2016 will ...

CPO/CTA - FAQs - Waystone Compliance Solutions

Under CFTC Rule 4.14(a)(10), advisors that have given commodity trading advice to at most 15 persons during the previous 12 months and do not hold themselves ...

CFTC Adopts Significant Changes to CPO and CTA Registration ...

Rescind the exemption from CPO registration under CFTC Rule 4.13(a)(4) for CPOs of commodity pools offered solely to certain qualified eligible ...

U.S. Commodity Exchange Act and Related Regulatory Issues

There are, in addition, a series of complete exemptions from CPO and CTA ... The CFTC is authorized to make additional definitions and to exclude certain entities ...

CFTC and NFA Regulatory Reminders and Annual Overview for ...

Failure to affirm an active exemption or exclusion from CPO or CTA registration will result in its withdrawal on March 1, 2024. NFA Self ...