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 CTAs with respect to advising qualified eligible persons
- CFTC Regulation 4.7(c)(2): Recordkeeping relief for CTAs with a 4.7 exemption
- CFTC Regulation 4.14: Exemption from registration as a CTA
- CFTC Regulation 4.33: Recordkeeping relief
Please note: CTAs must claim relief through NFA's Exemptions System.