Exemptions Available to CTAs

A commodity trading advisor (CTA) may request relief from certain Commodity Futures Trading Commission (CFTC) regulations. Below are regulations that may offer such relief: 

  • CFTC Regulation 4.7: Exemption from certain part 4 requirements for commodity trading advisors with respect to advising qualified eligible persons.
  • CFTC Regulation 4.14: Exemption from registration as a commodity trading advisor.

Please note: CTAs must claim relief electronically through NFA's Exemption System.

Exemptions

CTAs must electronically file with NFA all notices of exclusion or exemption using NFA's Exemptions System.

Access the System

CFTC Part 4 Exemptions

See the CFTC Part 4 Exemptions Easy Reference Guide.

Learn More about CFTC Part 4 Exemptions