Commodity trading advisor exemption
WebFeb 3, 2024 · A commodity trading advisor (CTA) has expertise in trading commodities and related instruments. Although a CTA can act much like a financial advisor, and some financial advisors may hold the … WebTrades swaps subject to the jurisdiction of the CFTC in a commodity pool and the sponsor has been granted or is seeking a waiver from the Series 3 for its APs on the basis that but for the trading of swaps it would be eligible for the exclusion from the definition of CPO under CFTC Regulation 4.5(c)(2)(iii)(A) or (B) or an exemption from ...
Commodity trading advisor exemption
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WebOct 11, 2012 · CPO and CTA exemption claims (other than CTA exemptions under Section 4m (3) and Rule 4.14 (a) (10) which are self-executing, and for which no further … Web(1) Subject to the provisions of paragraph (c)(2) of this section, if a person who is eligible for exemption from registration as a commodity trading advisor under this section nonetheless registers as a commodity trading advisor, the person must comply with … (iii) For the purpose of determining eligibility for exemption under paragraph (a)(2) of … Title 17 - Commodity and Securities Exchanges; CHAPTER I - COMMODITY … RIO. Read It Online: create a single link for any U.S. legal citation
WebFeb 3, 2024 · ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC. B. Name under which you primarily conduct your advisory business, if different from Item 1.A. ZIMMERMANN INVESTMENT MANAGEMENT & PLANNING LLC. D. your SEC file number: 801-113579. E. If you have a number (“CRD Number”) assigned by the FINRA’s … WebApr 23, 2012 · The CFTC also rescinded the corollary exemption available to “commodity trading advisers (“ CTAs “) who advised funds operated by CPOs exempt under 4.13(a)(4). This exemption was set forth in Rule 4.14(a)(8). At the same time as these two widely used exemptions were rescinded, the CFTC expanded the definitions of …
Web“Commodity Trading Adviser” and Exemptions • In addition, pursuant to CFTC Regulation § 4.5, the following persons are also exempt from the definition of commodity trading advisor: a. Insurance Companies, provided that its commodity interest advisory activities are solely incidental to the conduct of its insurance business, b. WebFeb 28, 2024 · Current through January 31, 2024. Section 4.13 - Exemption from registration as a commodity pool operator. This section is organized as follows: …
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WebNote: If the advisor is registered with the CFTC as a commodity trading advisor and intends to provide commodity interest advice pursuant to this exemption, then it must (1) notify each prospective clients that it will provide commodity interest trading advice as if it was exempt from registration as a commodity trading advisor and (2) ... iu hand clinicWeb(ii) Exempt from registration as a commodity trading advisor pursuant to the provisions of § 4.14 (a) (1), § 4.14 (a) (2) or § 4.14 (a) (8) of this chapter or is associated with a person who is so exempt from registration: Provided, That the provisions of paragraph (h) (2) (ii) of this section shall not apply to the solicitation of a client 's or … iu happy birthdayWebJun 14, 2024 · It sparked a cry for tighter regulation of the commodity futures markets. 6 Exemptions From Registration Registration as a CTA by the National Futures Association is required for individuals or... networked insurance agents grass valleyWebSeries 3: National Commodity Futures Examination. $140. 120** True/False and Multiple Choice. Market Knowledge and U.S. Regulations. 2 Hours. 30 Minutes. Series 30: NFA Branch Manager Examination. $90. 50 True/False and Multiple Choice. networked kitchen appliancesWebCFTC Regulation 4.14 details the criteria that must be met for exemption from CTA registration, including: Advice was provided to 15 or fewer persons during the past … networked insurance agents llcWebJul 29, 2010 · The commodity trading advisor to the Partnership is currently SandRidge Capital, L.P. ... Partner has either qualified or registered the offering for sale or where the General Partner has determined that an exemption from such qualification or registration is available under the applicable securities or “blue sky” statutes of such states or ... networked isacWebCommodity pool operators (CPO) and commodity trading advisors (CTA) must electronically file with NFA notices of exclusion or exemption from CFTC Part 4 … iu headbands