Commodity futures trading commission regulation 4.7

Commodity Futures Trading Commission. ACTION: Final rule. SUMMARY: The  Under the CFTC's Rule 4.7, a CPO may be exempt from certain disclosure and reporting requirements if 

24 Jul 2019 are defined by Rule 4.7 of the Commodity Exchange Act (CEA). Exchange Act and the Commodity Futures Trading Commission. 18 Sep 2014 The Commodity Futures Trading Commission (“CFTC”)'s Division of third party recordkeepers in CFTC Regulations 4.7(b)(4) and 4.23(c),  By clicking “Accept” you represent that you meet the definition of qualified eligible person in CFTC Regulation 4.7. The information provided on this website does  27 Feb 2020 Qualifying pools under Regulations 4.7 and 4.13(a)(3) may now use general solicitation pursuant to SEC Rule 506(c). Finally, the Amendments  commodity pool operator with the Commodity Futures Trading Commission ( CTC), of a qualified eligible person (QEP) as defined in CFTC Regulation 4.7. 26 Dec 2019 [CFTC] regulations, and to generally reduce the regulatory burden without certain CPO compliance obligations under CFTC Regulation 4.7,. 31 Jan 2014 U.S. COMMODITY FUTURES TRADING COMMISSION exemption from the requirement of Commission regulations 4.7(b)(3) and 4.22(d) to 

17 CFR § 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.

the commodity futures trading commission does not pass upon the merits of participating in a trading program or upon the adequacy or accuracy of commodity trading advisor disclosure. consequently, the commodity futures trading commission has not reviewed or approved this trading program or this brochure or account document.” cftc regulation 4.7 for registered ctas and cpos. leave a reply “lite-touch” regulatory approach for certain cftc registrants. the commodity futures trading commission does not pass upon the merits of participating in a trading program or upon the adequacy or accuracy of commodity trading advisor disclosure. consequently, the commodity Exemptions Available to CTAs. A commodity trading advisor (CTA) may request relief from certain Commodity Futures Trading Commission (CFTC) regulations. Below are regulations that may offer such relief: CFTC Regulation 4.7: Exemption from certain part 4 requirements for commodity trading advisors with respect to advising qualified eligible persons. The laws authorizing CFTC’s activities and the regulations issued by CFTC to carry out those activities, as well as related rulemaking, enforcement, and adjudicatory references. Public Comments Comments submitted to the Commission are available online for public review. Advisory providing further guidance on certain requirements applicable to swap dealers, futures commission merchants, and major swap participants in connection with the preparation and submission of chief compliance officer annual compliance reports pursuant to § 3.3. 19-23: Letter Type: No-Action Division: DCR Regulation Parts: 2(h), 50.2, 50.4 The Commodity Exchange Act (CEA) regulates the trading of commodity futures in the United States. Passed in 1936, it has been amended several times since then. The CEA establishes the statutory framework under which the CFTC operates. Under this Act, the CFTC has authority to establish regulations Electronic Code of Federal Regulations (e-CFR) 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; Section 4.13. Exemption from registration as a commodity pool operator.

The CFTC has adopted rules and regulations governing the commodity pools under CFTC Regulation 4.7, the CPO must distribute account statements to.

QUALIFIED ELIGIBLE CLIENTS AS DEFINED IN THE CFTC REGULATION 4.7 (A). THE RISK OF LOSS IN TRADING COMMODITIES CAN BE SUBSTANTIAL. 10 Dec 2019 Commission's regulations are found at 17 CFR Ch. I (2019). 3 7 U.S.C. Regulation 4.7 and operates Pools pursuant to CFTC. Regulation  17 CFR 4.7 - Exemption from certain part 4 requirements for commodity pool operators with respect to offerings to qualified Code of Federal Regulations ( annual edition) Chapter I - COMMODITY FUTURES TRADING COMMISSION The CFTC has adopted rules and regulations governing the commodity pools under CFTC Regulation 4.7, the CPO must distribute account statements to. 11 Oct 2018 Importantly, by placing this relief within CFTC Regulation 4.13, CPOs of from certain provisions of CFTC Regulations 4.7(b) and 4.13(a)(3),  24 Jul 2019 are defined by Rule 4.7 of the Commodity Exchange Act (CEA). Exchange Act and the Commodity Futures Trading Commission.

Who Qualifies. 4.7 (Firm level for CTA)(Pool level for CPO) Registered CPO that operates 4.7 exempt pools is definition in CFTC Regulation 4.7 of " qualified.

1 Feb 2019 CPO Exemptive Notice Filing Requirements. CPOs relying on relief from registration under the 4.5 Exclusion, CFTC Rule 4.7,25 the 4.13(a)(3). “knowledgeable employee” of the manager, or a qualified eligible person as defined under CFTC. Regulation 4.7. The 4.13(a)(3) exemption is not self- executing  Commodity Futures Trading Commission. ACTION: Final rule. SUMMARY: The  Under the CFTC's Rule 4.7, a CPO may be exempt from certain disclosure and reporting requirements if  13 Nov 2018 The CFTC proposes to amend CFTC Regulation 4.13 (which The CFTC is proposing targeted amendments to CFTC Regulations 4.7 and 

“knowledgeable employee” of the manager, or a qualified eligible person as defined under CFTC. Regulation 4.7. The 4.13(a)(3) exemption is not self- executing 

the commodity futures trading commission does not pass upon the merits of participating in a trading program or upon the adequacy or accuracy of commodity trading advisor disclosure. consequently, the commodity futures trading commission has not reviewed or approved this trading program or of any of the information presented on this web site. The SEC administers and enforces the federal laws that govern the sale and trading of securities, such as stocks, bonds, and mutual funds, but we do not regulate futures trading. We refer questions and complaints about futures to the Commodity Futures Trading Commission (CFTC)—the federal agency that does regulate futures trading. Commodity Futures Trading Commission - CFTC: An independent U.S. federal agency established by the Commodity Futures Trading Commission Act of 1974. The Commodity Futures Trading Commission Chapter I. COMMODITY FUTURES TRADING COMMISSION; Part 1. GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT Qualifications and reports of accountants. 17 CFR § 1.16 - Qualifications and reports of accountants. CFR ; Table of Popular Names prev | next § 1.16 Qualifications and reports of accountants. the certified public accountant's

cftc regulation 4.7 for registered ctas and cpos. leave a reply “lite-touch” regulatory approach for certain cftc registrants. the commodity futures trading commission does not pass upon the merits of participating in a trading program or upon the adequacy or accuracy of commodity trading advisor disclosure. consequently, the commodity the commodity futures trading commission does not pass upon the merits of participating in a trading program or upon the adequacy or accuracy of commodity trading advisor disclosure. consequently, the commodity futures trading commission has not reviewed or approved this trading program or this brochure or account document.” Re: Petition for Rulemaking to Amend CFTC Regulations 4.7, 4.13 and 4.22. Dear Ms. Webb: National Futures Association (NFA) respectfully petitions the Commission under CFTC Regulations 4.7, 4.13 and 4.22 to modify a number of reporting requirements currently imposed upon commodity pool operators. The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to its regulations to permit commodity pool operators (CPOs) that only solicit and/or accept funds from non-U.S. persons for participation in offshore commodity pools to claim an exemption from CPO registration and compliance requirements with respect to such Commodity Asset Management, LLC is dually registered with the Commodity Futures Trading Commission (“CFTC”) as a Commodity Pool Operator and Commodity Trading Advisor, and is a member of the National Futures Association. The information on this website is meant for Qualified Eligible Persons as defined by CFTC Regulation 4.7.