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:

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


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

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CFTC Part 4 Exemptions

See the CFTC Part 4 Exemptions Easy Reference Guide.

Learn More about CFTC Part 4 Exemptions