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.

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