CPO / CTA Recordkeeping | Cadwalader Cabinet | Find Know Do

CPO / CTA Recordkeeping

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Overview

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

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Contributor Organization

Cadwalader, Wickersham & Taft LLP

Contributor Title

Senior Attorney

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Contributor Organization

Cadwalader, Wickersham & Taft LLP

Contributor Title

Partner

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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

Guidance

Speeches, Studies and Comments

Enforcement

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Cadwalader Guide to CEA Regulation

Disclosure, Reporting and Recordkeeping