Market regulation · 18/12/2002

Commodity Pool Operators and Commodity Trading Advisors

The Commodity Futures Trading Commission (the "Commission" or "CFTC") has adopted amendments which govern Commodity Pool Operators ("CPOs") and Commodity Trading Advisors ("CTAs"). These amendments make clear that certain Disclosure Documents, annual financial reports, notices of eligibility, claims of exemption, and requests for extensions of time to file annual financial reports, need only be filed with the National Futures Association ("NFA") and need not also be filed with the Commission. The Commission, in separate Notices and Orders published elsewhere in the Federal Register, has authorized NFA to receive and review these documents.