CPOs/CTAs

Taking a page from recent legal successes against the SEC, the Investment Company Institute and the U.S. Chamber of Commerce sued the CFTC last week ...

The Commission adopted new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd- Frank for entities registered ...

Turns out the process to register as a commodity pool operator or commodity trading advisor with the CFTC differs greatly from the SEC's process. For ...

Last week the Commodity Futures Trading Commission unveiled a final rule and a proposed rule, that could force certain advisers to register as commodity pool ...

This is the form the CFTC devised to satisfy its 2012 rule for pool quarterly reporting by commodity pool operators. It's technically called CFTC Form ...

This final rule codifies relief from certain disclosure, reporting, and recordkeeping requirements that Commission staff previously had issued to these CPOs on a case-by-case basis.

Review of the questionnaires should aid Members in recognizing potential problem areas and alert them to procedures which need to be revised or strengthened. The ...

The Board of Directors has granted the Director of Compliance the authority to waive the Series 3 examination for certain individuals who are associated with ...

All performance information must be presented in a manner that is balanced and is not misleading. CTAs have an obligation to disclose all material information ...

This break-even analysis is a sample and the fees and expenses included in it may vary from those charged by other commodity pools. The analysis ...