CPO / CTA Recordkeeping | Fried Frank | Regulatory Intelligence

CPO / CTA Recordkeeping

Find
Know

Overview

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

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

Regulatory Assistance

Speeches, Studies and Comments

Enforcement

Know

Know:

Guide to CEA Regulation

Disclosure, Reporting and Recordkeeping