17 CFR 4.14 - Exemption from registration as a commodity trading advisor
| Cite as | 17 CFR 4.14 |
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130 practice notes
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Part III
...Letter 96-43 (May 15, 1996) (each shareholder in a corporation counts as a person ). In 2003, the CFTC adopted new rule 4.14(a)(10) [17 CFR 4.14(a)(10)] that reversed its look-through interpretation by permitting commodity trading advisors to count legal entities, such as corporations or li......
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Investment advisers:
Hedge fund advisers; registration,
...Letter 96-43 (May 15, 1996) (each shareholder in a corporation counts as a person ). In 2003, the CFTC adopted new rule 4.14(a)(10) [17 CFR 4.14(a)(10)] that reversed its look-through interpretation by permitting commodity trading advisors to count legal entities, such as corporations or li......
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U.S. Commodity Futures Trading Comm'n v. Jonathan W. Arrington, Elite Mgmt. Holdings Corp., Case No. 8:11CV181.
...and engaging in any activity requiring such registration or exemption from registration with the CFTC, except as provided for in 17 C.F.R. § 4.14(a)(9) (2013); and/or h. acting as a principal (as that term is defined in 17 C.F.R. § 3.1(a) (2013)), agent or any other officer or employee of a......
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Commodity Futures Trading Comm'n v. Fin. Tree, 2:20-cv-01184 TLN
...activity requiring such registration or exemption from registration with the CFTC, except as provided for in Regulation 4.14(a)(9), 17 C.F.R. § 4.14(a)(9) and/or g. Acting as a principal (as that term is defined in Regulation 3.1(a), 17 C.F.R. § 3.1(a) (2021)), agent or any other officer or......
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114 cases
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U.S. Commodity Futures Trading Comm'n v. Jonathan W. Arrington, Elite Mgmt. Holdings Corp., Case No. 8:11CV181.
...and engaging in any activity requiring such registration or exemption from registration with the CFTC, except as provided for in 17 C.F.R. § 4.14(a)(9) (2013); and/or h. acting as a principal (as that term is defined in 17 C.F.R. § 3.1(a) (2013)), agent or any other officer or employee of a......
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Commodity Futures Trading Comm'n v. Fin. Tree, 2:20-cv-01184 TLN
...activity requiring such registration or exemption from registration with the CFTC, except as provided for in Regulation 4.14(a)(9), 17 C.F.R. § 4.14(a)(9) and/or g. Acting as a principal (as that term is defined in Regulation 3.1(a), 17 C.F.R. § 3.1(a) (2021)), agent or any other officer or......
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Commodity Trend v. Commodity Futures Trading, Nos. 99-4142
...F.3d 831, 851 (7th Cir. 2000). Because of the CFTC's recent regulation exempting impersonal advisors from registration under the CEA, 17 C.F.R. sec. 4.14(a)(9), the constitutional issues that concerned the Supreme Court in Lowe are not present in the instant case. We find that the antifraud......
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U.S. Commodity Futures Trading Comm'n v. Allied Markets LLC, Case No. 3:15-cv-5-J-34MCR
...or any other employee of any person required to be registered with CFTC or expressly exempted from such registration pursuant to 17 C.F.R. § 4.14(a), except such persons provided for in 17 C.F.R. § 4.14(a)(9).3. The Clerk of Court is directed to enter JUDGMENT in favor of Plaintiff U.S. Com......
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5 firm's commentaries
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"CFTC Curtails Commodity Pool Operator Exemptions for Registered Investment Companies and Private Funds and Commodity Trading Advisor Exemptions for Their Advisers"
...to register as the CPO for a RIC, then it would be exempt from registering as the CTA for that same RIC under CFTC Rule 4.14(a)(4). 17 C.F.R. § 4.14(a)(4). 30 Final Rules, pg. 32. 31 Final Rules, pg. 33. 32 Harmonization of Compliance Obligations for Registered Investment Companies, 77 Fed.......
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Affirmations of CPO and CTA registration exemptions are due by March 1, 2018
...the annual affirmation via the National Futures Association’s (NFA) Exemptions Filing System. 1 17 CFR § 4.5(c)(5); 17 CFR § 4.13(b)(4); 17 CFR § 4.14(a)(8)(iii)(D). 2 17 CFR § 4.5(c)(5); 17 CFR § 4.13(b)(4); 17 CFR § 4.14(a)(8)(iii)(D). 3 17 CFR § 1.3. 4 17 CFR § 1.3. 5 17 CFR § 4.5. 6 17 ......
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CFTC Seeks to Amend Commodity Pool Regulations
...out to the public as an IA 17 C.F.R. § 275.202(a)(11)(G)-1(b). 19 Proposal, 83 Fed. Reg. at 52909. 20 Proposal (to be codified at 17 C.F.R. § 4.14(a)). “Family Client” is defined in SEC Rule 275.202(1)(11)(G)-1(d)(4) to mean, inter alia, any present or former family member, any key employee......
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Swaps Regulation Under Dodd-Frank: Key Issues For Fund Sponsors And Advisers
...their funds.8 The terms of the final guidance and order may vary from those of the CFTC's proposals. Footnotes 1 See CEA § 4m(3); 17 C.F.R. § 4.14(a)(8). 2 See 17 C.F.R. § 3 The FIA-ISDA Cleared Derivatives Addendum and Cleared Derivatives Execution Agreement are available at: http://www.is......
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