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ARTICLE · 13 JANUARY 2003

Proposed Exemptions from Commodity Pool Operator and Commodity Trading Advisor Registration

Paul Hastings LLP
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United StatesCorporate/Commercial Law
Mitchell Nichter
Mitchell Nichter

Introduction

In general, unless exempt an operator of an investment pool (including private investment funds) that trades futures contracts or options on futures ("financial commodities") must be registered with the CFTC as a commodity pool operator ("CPO") and/or a commodity trading advisor ("CTA").

The Commodity Futures Trading Commission (the "CFTC") recently proposed new exemptions from registration as CPO and CTA aimed at persons who engage in limited financial commodity trading activities.1 The CFTC is also providing temporary immediately available no-action relief from CPO and CTA registration for persons who meet specified criteria pending final action on the proposed exemptions. The CFTC must receive comments on its proposals by January 13, 2003.

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