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.