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Exemptions Available to CTAs

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)(8), 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...  

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