Exemptions

CPOs and CTAs must electronically file with NFA all notices of exclusion or exemption from the Commodity Futures Trading Commission's (CFTC) Part 4 requirements - namely, all notices of exemption or exclusion required by Regulations 4.5, 4.7, 4.12(b), 4.13 and 4.14(a)(8).

Any hardcopy exemptions filed with NFA prior to February 15, 2007 need not be re-filed through the system. All previously filed hardcopy exemptions have been transferred into the electronic system and are available for viewing and amendment.

You are accessing a system containing U.S. Commodity Futures Trading Commission records. Your usage may be monitored, recorded, and subject to audit, and, by your use, you consent to monitoring and recording. Unauthorized use of the system is prohibited and subject to criminal and civil penalties.

Please note that the exemptions system will not be available for use Monday through Friday from 8:00 p.m. to 9:00 p.m. CT. The system may also occasionally be unavailable at other times due to system maintenance.

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