Title 17

PART 4

Part 4 - Commodity Pool Operators And Commodity Trading Advisors

PART 4 - COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS Authority:7 U.S.C. 1a, 2, 6(c), 6b, 6c, 6l, 6m, 6n, 6o, 12a, and 23. Source:46 FR 26013, May 8, 1981, unless otherwise noted.

• Authority: 7 U.S.C. 1a, 2, 6(c), 6b, 6c, 6l, 6m, 6n, 6o, 12a, and 23.
• Source: 46 FR 26013, May 8, 1981, unless otherwise noted.

17:1.0.1.1.4.1	SUBPART A	Subpart A - General Provisions, Definitions and Exemptions
17:1.0.1.1.4.1.7.1	SECTION 4.1	4.1 Requirements as to form.
17:1.0.1.1.4.1.7.2	SECTION 4.2-4.4	4.2-4.4 [Reserved]
17:1.0.1.1.4.1.7.3	SECTION 4.5	4.5 Exclusion for certain otherwise regulated persons from the definition of the term “commodity pool operator.”
17:1.0.1.1.4.1.7.4	SECTION 4.6	4.6 Exclusion for certain otherwise regulated persons from the definition of the term “commodity trading advisor.”
17:1.0.1.1.4.1.7.5	SECTION 4.7	4.7 Exemption 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.
17:1.0.1.1.4.1.7.6	SECTION 4.8	4.8 Exemption from certain requirements of rule 4.26 with respect to pools offered or sold in certain offerings exempt from registration under the Securities Act.
17:1.0.1.1.4.1.7.7	SECTION 4.9	4.9 [Reserved]
17:1.0.1.1.4.1.7.8	SECTION 4.10	4.10 Definitions.
17:1.0.1.1.4.1.7.9	SECTION 4.11	4.11 Exemption from section 4n(3)(B).
17:1.0.1.1.4.1.7.10	SECTION 4.12	4.12 Exemption from provisions of part 4.
17:1.0.1.1.4.1.7.11	SECTION 4.13	4.13 Exemption from registration as a commodity pool operator.
17:1.0.1.1.4.1.7.12	SECTION 4.14	4.14 Exemption from registration as a commodity trading advisor.
17:1.0.1.1.4.1.7.13	SECTION 4.15	4.15 Continued applicability of antifraud section.
17:1.0.1.1.4.1.7.14	SECTION 4.16	4.16 Prohibited representations.
17:1.0.1.1.4.1.7.15	SECTION 4.17	4.17 Severability.
17:1.0.1.1.4.2	SUBPART B	Subpart B - Commodity Pool Operators
17:1.0.1.1.4.2.7.1	SECTION 4.20	4.20 Prohibited activities.
17:1.0.1.1.4.2.7.2	SECTION 4.21	4.21 Required delivery of pool Disclosure Document.
17:1.0.1.1.4.2.7.3	SECTION 4.22	4.22 Reporting to pool participants.
17:1.0.1.1.4.2.7.4	SECTION 4.23	4.23 Recordkeeping.
17:1.0.1.1.4.2.7.5	SECTION 4.24	4.24 General disclosures required.
17:1.0.1.1.4.2.7.6	SECTION 4.25	4.25 Performance disclosures.
17:1.0.1.1.4.2.7.7	SECTION 4.26	4.26 Use, amendment and filing of Disclosure Document.
17:1.0.1.1.4.2.7.8	SECTION 4.27	4.27 Additional reporting by commodity pool operators and commodity trading advisors.
17:1.0.1.1.4.3	SUBPART C	Subpart C - Commodity Trading Advisors
17:1.0.1.1.4.3.7.1	SECTION 4.30	4.30 Prohibited activities.
17:1.0.1.1.4.3.7.2	SECTION 4.31	4.31 Required delivery of Disclosure Document to prospective clients.
17:1.0.1.1.4.3.7.3	SECTION 4.32	4.32 [Reserved]
17:1.0.1.1.4.3.7.4	SECTION 4.33	4.33 Recordkeeping.
17:1.0.1.1.4.3.7.5	SECTION 4.34	4.34 General disclosures required.
17:1.0.1.1.4.3.7.6	SECTION 4.35	4.35 Performance disclosures.
17:1.0.1.1.4.3.7.7	SECTION 4.36	4.36 Use, amendment and filing of Disclosure Document.
17:1.0.1.1.4.4	SUBPART D	Subpart D - Advertising
17:1.0.1.1.4.4.7.1	SECTION 4.40	4.40 [Reserved]
17:1.0.1.1.4.4.7.2	SECTION 4.41	4.41 Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.
17:1.0.1.1.4.5	SUBPART 0
17:1.0.1.1.4.6.7.1.7	APPENDIX Appendix A	Appendix A to Part 4 - Form CPO-PQR
17:1.0.1.1.4.6.7.1.8	APPENDIX Appendix B	Appendix B to Part 4 - Adjustments for Additions and Withdrawals in the Computation of Rate of Return
17:1.0.1.1.4.6.7.1.9	APPENDIX Appendix C	Appendix C to Part 4 - Form CTA-PR

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