Regulatory Alerts2018-10-18 | 2018-22324Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors
The Commodity Futures Trading Commission proposes amendments to 17 CFR Part 4 to exempt certain commodity pool operators from registration when soliciting only non-U.S. persons for offshore pools. The proposal also introduces registration exemptions for qualifying family offices and business development company investment advisers, while prohibiting statutorily disqualified persons from claiming exemptions. Additionally, the Commission seeks to allow general solicitation for qualifying pools under the JOBS Act and relieve specific filers from submitting Forms CPO-PQR and CTA-PR.
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