17 CFR Part 4 — Commodity Pool Operators and Commodity Trading Advisors
Subpart A — General Provisions, Definitions and Exemptions
- § 4.1— Requirements as to form.
- § 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.
- § 4.10— 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.
Subpart B — Commodity Pool Operators
- § 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.