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CFTC Amends Regulations Relating to Part 4 Requirements

CFTC Amends Regulations Relating to Part 4 Requirements

The Commodity Futures Trading Commission (CFTC) recently amended its Part 4 Regulations to require Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs) to electronically file with NFA all notices of exclusion or exemption from Part 4 requirements. The regulations also require that the notices be filed through NFA’s electronic exemption system by a person duly authorized to bind the CPO or CTA. The amendments eliminate the requirement that these notices include a manual signature.

The amendments are effective February 15, 2007 and apply to all notices of exemption or exclusion required by Regulations 4.5, 4.7, 4.12(b), 4.13 and 4.14(a)(8).


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