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Exemptions › Commodity Trading Advisors (CTAs) › National Futures Association

Eversheds Sutherland (US) LLP

BDCs must reclaim relief from CPO registration

Eversheds Sutherland (US) LLP on

On November 25, 2019, the Commodity Futures Trading Commission (CFTC) adopted several final regulations to codify existing exemptions from commodity pool operator (CPO) registration. Among them is an exemption that was issued...more

Morgan Lewis

CFTC Staff Exempts Certain Commodity Trading Advisors from Form CTA-PR Reporting

Morgan Lewis on

The reporting relief applies to commodity trading advisors that do not “direct” trading of any client commodity interest trading accounts. On July 23, the CFTC’s Division of Swap Dealer and Intermediary Oversight issued...more

Katten Muchin Rosenman LLP

NFA Issues Guidance on Exempt and Excluded CPOs and CTAs

Katten Muchin Rosenman LLP on

On December 3, National Futures Association (NFA) issued guidance reminding firms that are relying on certain exemptions or exclusions from registration as commodity pool operators (CPOs) or commodity trading advisors (CTAs)...more

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