Home/CFR/Title 17/Part 4
FEDERAL · 17 CFR

Part 4 — Commodity Pool Operators and Commodity Trading Advisors

32 sections · Title 17: Commodity and Securities Exchanges

§ 4.1Requirements as to form.
§ 4.2-4.4§§ 4.2-4.4 [Reserved]
§ 4.5Exclusion for certain otherwise regulated persons from the definition of the term “commodity pool operator.”
§ 4.6Exclusion for certain otherwise regulated persons from the definition of the term “commodity trading advisor.”
§ 4.7Exemption 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.
§ 4.8Exemption 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§ 4.9 [Reserved]
§ 4.10Definitions.
§ 4.11Exemption from section 4n(3)(B).
§ 4.12Exemption from provisions of this part.
§ 4.13Exemption from registration as a commodity pool operator.
§ 4.14Exemption from registration as a commodity trading advisor.
§ 4.15Continued applicability of antifraud section.
§ 4.16Prohibited representations.
§ 4.17Severability.
§ 4.20Prohibited activities.
§ 4.21Required delivery of pool Disclosure Document.
§ 4.22Reporting to pool participants.
§ 4.23Recordkeeping.
§ 4.24General disclosures required.
§ 4.25Performance disclosures.
§ 4.26Use, amendment and filing of Disclosure Document.
§ 4.27Additional reporting by commodity pool operators and commodity trading advisors.
§ 4.30Prohibited activities.
§ 4.31Required delivery of Disclosure Document to prospective clients.
§ 4.32§ 4.32 [Reserved]
§ 4.33Recordkeeping.
§ 4.34General disclosures required.
§ 4.35Performance disclosures.
§ 4.36Use, amendment and filing of Disclosure Document.
§ 4.40§ 4.40 [Reserved]
§ 4.41Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.