CPO / CTA Recordkeeping | Cadwalader Cabinet | Find Know Do

CPO / CTA Recordkeeping

Find
Know

Overview

This page provides information as to the recordkeeping and record retention requirements applicable to CPOs and CTAs.

mark.highman@cwt.com's picture

Contributor Organization

Cadwalader, Wickersham & Taft LLP

Contributor Title

Senior Attorney

dorothy.mehta@cwt.com's picture

Contributor Organization

Cadwalader, Wickersham & Taft LLP

Contributor Title

Partner

Find

Find:

Statutes and Rules

CEA Section 4n (Disclosure, reporting, recordkeeping)
CFTC Rule 4.7 (Exemptions for QEP pools)
CFTC Rule 4.12 (Exemption from provisions of part 4)
CFTC Rule 4.23 (CPO recordkeeping)
CFTC Rule 4.33 (CTA recordkeeping)

NFA Rules

NFA Compliance Rule 2-10 (Recordkeeping)
NFA Compliance Rule 2-13 (Incorporation of CFTC Rules into NFA Rules)
NFA Compliance Rule 2-29 (Retention of promotional materials)

Developments

News | Events
Federal Registers
Notices
No-Action Letters | Letters re Record Locations
Rule Filings
Change Management
Rules in Transition
Calendar Page (select the CEA regulatory calendar)

Regulatory Assistance

Speeches, Studies and Comments

Enforcement

Know

Know:

Cadwalader Guide to CEA Regulation

Disclosure, Reporting and Recordkeeping