CEA Sections and CFTC Rules

• CEA Section 4n (Disclosure, reporting, recordkeeping)

• CFTC Rules Part 4 (CPOs and CTAs)
  • CFTC Rule 4.1 (Requirements as to form of documents)
  • CFTC Rule 4.7 (Exemptions for QEP pools)
  • CFTC Rule 4.5  (Exclusions from the definition of CPO)
  • CFTC Rule 4.11 (Exemption from disclosure)
  • CFTC Rule 4.12 (Exemption from provisions of part 4)
  • CFTC Rule 4.13  (Exemption from registration as a CPO)
• Part 4, Subpart B, CFTC Rules 4.20 to 4.27 (Disclosures by CPOs)
  • CFTC Rule 4.21 (Delivery of pool disclosure document)
  • CFTC Rule 4.22 (Reporting to pool participants)
  • CFTC Rule 4.24 (General disclosures)
  • CFTC Rule 4.25 (Performance disclosures)
  • CFTC Rule 4.26 (Use, amendment and filing of disclosure document)
• Part 4, Subpart C, CFTC Rules 4.30 to 4.36 (Disclosures by CTAs)
  • CFTC Rule 4.31 (Delivery of disclosure document to prospective clients)
  • CFTC Rule 4.34 (General disclosures)
  • CFTC Rule 4.35 (Performance disclosures)
  • CFTC Rule 4.36 (Use, amendment and filing of disclosure document)

NFA Rules

• NFA Compliance Rule 2-13 (Incorporation of CFTC Rules into NFA Rules)
• NFA Compliance Rule 2-29 (Communications with public)
• NFA Compliance Rule 2-30 (Risk disclosure)
• NFA Compliance Rule 2-34 (CTA performance reporting and disclosure)
• NFA Compliance Rule 2-35 (CPO/CTA disclosure documents)