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2020-07-08
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Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications
Rules and Regulations
D09002ee1c102d4bf
D09002ee1c102d586
United States
Commodity Futures Trading Commission
originator
org
United States Government Agency or Subagency
The Commodity Futures Trading Commission (CFTC or Commission) is adopting as final (Final Rule) an amendment to Regulation 4.13, which contains the regulations applicable to commodity pool operators (CPOs) and commodity trading advisors. The Final Rule generally prohibits persons who have, or whose principals have, in their backgrounds any of the statutory disqualifications listed in section 8a(2) of the Commodity Exchange Act (CEA or the Act) from claiming a CPO registration exemption under Regulation 4.13. Specifically, the Final Rule will require any person filing a notice claiming such exemption to represent that, subject to limited exceptions, neither the claimant nor any of its principals has in their backgrounds a CEA section 8a(2) disqualification that would require disclosure, if the claimant sought registration with the Commission.
85 FR 40877
https://www.govinfo.gov/app/details/FR-2020-07-08/2020-12607
2020-12607
fr08jy20-8
RIN 3038-AE76
6351-01-P
https://www.govinfo.gov/app/details/FR-2020-07-08/2020-12607
https://www.govinfo.gov/content/pkg/FR-2020-07-08/html/2020-12607.htm
https://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-12607.pdf
Advertising
Brokers
Commodity Futures
Commodity Pool Operators
Commodity Trading Advisors
Consumer Protection
Reporting and Recordkeeping Requirements
16 p.
40877
40892
85 FR 40877
Code of Federal Regulations
Title 17 Part 4
17 CFR Part 4
Regulation Identification Number 3038-AE76
RIN 3038-AE76
Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications; Federal Register Vol. 85, Issue
RULE
2020-12607
COMMODITY FUTURES TRADING COMMISSION
2020-09-08
6351-01-P
2020-12607
Final rules.
The Commodity Futures Trading Commission (CFTC or Commission) is adopting as final (Final Rule) an amendment to Regulation 4.13, which contains the regulations applicable to commodity pool operators (CPOs) and commodity trading advisors. The Final Rule generally prohibits persons who have, or whose principals have, in their backgrounds any of the statutory disqualifications listed in section 8a(2) of the Commodity Exchange Act (CEA or the Act) from claiming a CPO registration exemption under Regulation 4.13. Specifically, the Final Rule will require any person filing a notice claiming such exemption to represent that, subject to limited exceptions, neither the claimant nor any of its principals has in their backgrounds a CEA section 8a(2) disqualification that would require disclosure, if the claimant sought registration with the Commission.
Effective Date: The effective date for this Final Rule is September 8, 2020.
Joshua Sterling, Director, at 202-418- 6056 or jsterling@cftc.gov; Amanda Lesher Olear, Deputy Director, at 202-418-5283 or aolear@cftc.gov; Elizabeth Groover, Special Counsel, at 202-418- 5985 or egroover@cftc.gov, Division of Swap Dealer and Intermediary Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1151 21st Street NW, Washington, DC 20581.
Advertising
Brokers
Commodity Futures
Commodity Pool Operators
Commodity Trading Advisors
Consumer Protection
Reporting and Recordkeeping Requirements
Registration and Compliance Requirements:
Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions Under Regulation 4.13 on Behalf of Persons Subject to Certain Statutory Disqualifications,
aolear@cftc.gov
egroover@cftc.gov
jsterling@cftc.gov
http://www.robert-louis-stevenson.org/richard-dury-archive/nonquotes.htm
https://comments.cftc.gov/PublicComments/CommentList.aspx?id=2925
https://www.cftc.gov
https://www.cftc.gov/PressRoom/SpeechesTestimony/behnamstatement112519
https://www.cftc.gov/PressRoom/SpeechesTestimony/berkovitzstatement112519
https://www.cftc.gov/sites/default/files/tm/advisory18-96.htm
https://www.govinfo.gov/content/pkg/FR-2020-05-19/pdf/2020-10676.pdf
https://www.govinfo.gov/content/pkg/PLAW-111publ203/pdf/PLAW-111publ203.pdf
https://www.nfa.futures.org/registration-membership/templates-and-forms/Form7-R-entire.pdf
https://www.nfa.futures.org/rulebook/rules.aspx?RuleID=RULE%20101&Section=8
Federal Register
Vol. 85, no. 131
Office of the Federal Register, National Archives and Records Administration
2020-07-08
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310 p.
Table of Contents:
AE 2.7:
GS 4.107:
AE 2.106:
KF70.A2
https://www.govinfo.gov/app/details/FR-2020-07-08
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0042-1219
0364-1406
769-004-00000-9
000582072
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https://www.govinfo.gov/app/details/FR-2020-07-08
https://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/FR-2020-07-08.pdf
https://www.govinfo.gov/content/pkg/FR-2020-07-08/xml/FR-2020-07-08.xml
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