CPOs/CTAs

Each commodity pool operator registered or required to be registered under the Act must make and keep the following books and records in an accurate, ...

(a) General definitions. For the purposes of this section: (1) Commodity pool operator or CPO has the same meaning as commodity pool operator defined in ...

(a) Each commodity trading advisor registered or required to be registered under the Act must deliver or cause to be delivered to a prospective client ...

Each commodity trading advisor registered or required to be registered under the Act must make and keep the following books and records in an accurate, ...

(a) Subject to paragraph (c) of this section, all information contained in the Disclosure Document must be current as of the date of the Document; ...

(a) No commodity pool operator, commodity trading advisor, or any principal thereof, may advertise in a manner which: (1) Employs any device, scheme or artifice ...

Part 4 of this chapter applies to any person required pursuant to the provisions of this part 5 to register as a commodity pool operator ...

Members that take reasonable steps to determine the registration and Membership status of these previously exempt persons will not be in violation of NFA Bylaw ...

Each person registered as an introducing broker, commodity pool operator, or commodity trading advisor must become and remain a member of at least one futures ...

The Order finds that Defendants violated the Commodity Exchange Act by misappropriating funds totaling approximately $191,689 from Monarch Futures Fund LLC (Monarch) and QEP Futures ...