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Home Page > Executive Branch > Code of Federal Regulations > Electronic Code of Federal Regulations

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e-CFR Data is current as of February 4, 2010

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
applicability of antifraud section.
§4.16
Prohibited representations.
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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.
rule

Subpart C--COMMODITY TRADING ADVISORS

§4.30
Prohibited activities.
§4.31
Required delivery of Disclosure Document to prospective clients.
§4.32
Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.
§4.33
Recordkeeping.
§4.34
General disclosures required.
§4.35
Performance disclosures.
§4.36
Use, amendment and filing of Disclosure Document.
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Subpart D--ADVERTISING

§4.40
[Reserved]
§4.41
Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.
Appendix
Appendix A to Part 4 --Guidance on the Application of Rulein the Fund-of-Funds Context
Appendix
Appendix B to Part 4 --Adjustments for Additions and Withdrawals in the Computation of Rate of Return
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