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17 CFR Part 4, Subpart B - Commodity Pool Operators | LII / Legal Information Institute
CFR › Title 17 › Chapter I › Part 4 › Subpart B 17 CFR Part 4, Subpart B - Commodity Pool Operators
There is 1 rule appearing in the Federal Register for 17 CFR 4. View below or at eCFR (GPOAccess)
§ 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 advisors of certain large commodity pools.
Title 17 published on 2013-04-01The following are only the Rules published in the Federal Register after the published date of Title 17.For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.2013-08-22; vol. 78 # 163 - Thursday, August 22, 201378 FR 52308 - Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
typeregulations.gov FR Doc.2013-19894 RIN3038-AD75 COMMODITY FUTURES TRADING COMMISSION Final rule. Effective dates: This rule is effective August 22, 2013, except the amendments to §§ 4.7(b)(4), 4.12(c)(3)(i), 4.23, 4.26, and 4.36 which are effective September 23, 2013. Compliance dates: Registered CPOs seeking exemption under these rules shall be required to comply with the conditions adopted in § 4.12(c)(3)(i) when the associated registered investment company updates its prospectus as described in Section II.F., below, and files the prospectus with the SEC. Moreover, the publication of these rules trigger the conditional compliance date that was established in the Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations rulemaking. 77 FR 11252, 11252 (Feb. 24, 2012). With the publication of these rules, registered CPOs of RICs must comply with § 4.27 on or before October 21, 2013. 17 CFR Part 4 SummaryThe Commodity Futures Trading Commission (“Commission” or “CFTC”) is adopting final regulations with respect to certain compliance obligations for commodity pool operators (“CPOs”) of investment companies registered under the Investment Company Act of 1940 (“registered investment companies” or “RICs”) that are required to register due to the recent amendments to its regulations. The Commission is also adopting amendments to certain provisions of part 4 of the Commission&apos;s regulations that are applicable to all CPOs and Commodity Trading Advisors (“CTAs”).
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.United States CodeU.S. Code: Title 7 - AGRICULTURE§ 1a - Definitions§ 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce§ 6 - Regulation of futures trading and foreign transactions§ 6b - Contracts designed to defraud or mislead§ 6c - Prohibited transactions7 U.S. Code § -§ 6m - Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law§ 6n - Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account7 U.S. Code § -§ 12a - Registration of commodity dealers and associated persons; regulation of registered entities§ 23 - Standardized contracts for certain commodities
Title 17 published on 2013-04-01The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 4 after this date.2013-08-22; vol. 78 # 163 - Thursday, August 22, 201378 FR 52308 - Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators