CPOs/CTAs

(1) It shall be unlawful for any person to be associated with a futures commission merchant as a partner, officer, or employee, or to be ...

It is hereby found that the activities of commodity trading advisors and commodity pool operators are affected with a national public interest in that, among ...

(1) It shall be unlawful for any commodity trading advisor or commodity pool operator, unless registered under this chapter, to make use of the mails ...

(1) Any commodity trading advisor or commodity pool operator, or any person who contemplates becoming a commodity trading advisor or commodity pool operator, may register ...

(1) It shall be unlawful for a commodity trading advisor, associated person of a commodity trading advisor, commodity pool operator, or associated person of a ...

Codification Section, Sept. 21, 1922, ch. 369, §4q, formerly §4p, as added Pub. L. 106–554, §1(a)(5) [title I, §121], Dec. 21, 2000, 114 Stat. 2763, ...

This case features allegations of misappropriation, solicitation fraud, and issuing false statements in connection with the operation of an unregistered commodity trading pool.

This letter places conditions on entities that engage in insurance-linked securities transactions to avoid registering as a CPO.