Commodity Pool Operator (CPO) Regulatory Obligations
NFA Members must comply with NFA rules and CFTC regulations. Visit the following pages to understand a commodity pool operator's (CPO) regulatory obligations.
- Annual CPO Requirements
- Books and Records
- Business Continuity and Disaster Recovery
- CPO Reporting Requirements
- Disclosure Documents
- Sales Practice and Promotional Material
- Self-Examination Questionnaire
In addition to the regulatory requirements listed above, here is some helpful information for CPOs.
The information presented here is intended to call attention to key compliance issues. This is not a complete list of requirements. For complete information, visit the NFA Rulebook and CFTC Regulations.