Securities practice portfolio series ; 261. 2372-1529
" ... describes in detail the regulatory regime applicable to commodity pool operators (CPOs), commodity trading advisors (CTAs) and their associated persons and principals. The Portfolio describes the registration requirements applicable to CPOs and CTAs, as well as the available exclusions and exemptions from these requirements. Included are step-by-step descriptions of the registration process and ongoing disclosure, recordkeeping and reporting requirements for CPOs and CTAs. The Portfolio also discusses Commodity Futures Trading Commission and National Futures Association (NFA) compliance rules and bylaws applicable to CPOs and CTAs, such as those involving prohibitions on doing business with non-members of NFA, advertising, audits, customer privacy, and business continuity and disaster recovery planning. Also included are Practice Tools that serve as models for required disclosures regarding investment performance and risk."
Bibliography, etc. Note
Includes bibliographical references.
Formatted Contents Note
Detailed analysis. Introduction to commodities regulation Who is required to register with the CFTC? CPO, CTA and AP exclusions and registration exemptions Registration process CPO disclosure, recordkeeping and reporting requirements CTA disclosure, recordkeeping and other requirements Compliance relief for certain registered CPOs and CTAs Additional CFTC and NFA compliance rules and bylaws.
Digital File Characteristics
Source of Description
Description based on contents viewed on August 10, 2017; title from description page.