Part 4 — Commodity Pool Operators and Commodity Trading Advisors
Current through Aug 17, 2026
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.
Sections
- § 4.1 Requirements as to form.
- §§ 4.2-4.4 [Reserved]
- § 4.5 Exclusion for certain otherwise regulated persons from the definition of the term “commodity pool operator.”
- § 4.6 Exclusion for certain otherwise regulated persons from the definition of the term “commodity trading advisor.”
- § 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.
- § 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.
- § 4.9 [Reserved]
- § 4.10 Definitions.
- § 4.11 Exemption from section 4n(3)(B).
- § 4.12 Exemption from provisions of this part.
- § 4.13 Exemption from registration as a commodity pool operator.
- § 4.14 Exemption from registration as a commodity trading advisor.
- § 4.15 Continued applicability of antifraud section.
- § 4.16 Prohibited representations.
- § 4.17 Severability.
- § 4.20 Prohibited activities.
- § 4.21 Required delivery of pool Disclosure Document.
- § 4.22 Reporting to pool participants.
- § 4.23 Recordkeeping.
- § 4.24 General disclosures required.
- § 4.25 Performance disclosures.
- § 4.26 Use, amendment and filing of Disclosure Document.
- § 4.27 Additional reporting by commodity pool operators and commodity trading advisors.
- § 4.30 Prohibited activities.
- § 4.31 Required delivery of Disclosure Document to prospective clients.
- § 4.32 [Reserved]
- § 4.33 Recordkeeping.
- § 4.34 General disclosures required.
- § 4.35 Performance disclosures.
- § 4.36 Use, amendment and filing of Disclosure Document.
- § 4.40 [Reserved]
- § 4.41 Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.
- Appendix A to Part 4—Form CPO-PQR
- Appendix B to Part 4—Adjustments for Additions and Withdrawals in the Computation of Rate of Return
- Appendix C to Part 4—Form CTA-PR