Exemptions

A CTA may request relief for client accounts pursuant to certain CFTC Regulations. A CTA must claim relief electronically through NFA's Exemption System. Below are regulations that may offer such relief: 

• Pursuant to CFTC Regulation §4.7, a CTA who directs the accounts of qualified eligible persons (QEPs) may claim relief from providing such participants with a Disclosure Document and other CFTC requirements. More...
• Pursuant to CFTC Regulations §4.14, a CTA who provides advice to pools operating under a §4.13(a)(3) exemptions may claim relief from preparing a Disclosure Document and from other CFTC requirements. More...  

File a Part 4 Exemption

File Annual Affirmation

CFTC Regulations Resources CFTC Part 4 Regulations Regulatory Requirements for Previously Exempt Commodity Pools (webinar)  CFTC Part 4 Exemption - Easy Reference Guide CFTC Part 4 Exemption Regulations CFTC's DSIO Issues No-Action Relief from Rescission of Regulation 4.13(a)(4) and Amendments to Regulation 4.5