Commodity trading advisors
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Most Cited Entries
- Adaptation of Regulations to Incorporate Swaps
06/07/2011; 12 citations - Regulation of Off-Exchange Retail Foreign Exchange Transactions and Intermediaries
09/10/2010; 12 citations - Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
02/11/2011; 4 citations - Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
02/11/2011; 3 citations - Additional Registration and Other Regulatory Relief for Commodity Pool Operators and Commodity Trading Advisors; Past Performance Issues
08/08/2003; 3 citations - Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations
02/24/2012; 2 citations - Performance Data and Disclosure for Commodity Trading Advisors
03/13/2003; 2 citations - Exemption from Certain Part 4 Requirements for Commodity Pool Operators With Respect to Offerings to Qualified Eligible Persons and for Commodity Trading Advisors With Respect to Advising Qualified Eligible Persons
08/04/2000; 2 citations - Adaptation of Regulations To Incorporate Swaps
11/02/2012; 1 citation - Identity Theft Red Flags Rules
03/06/2012; 1 citation - Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF
11/16/2011; 1 citation - Electronic Filing of Disclosure Documents
11/26/2008; 1 citation
Agencies Using this Topic
Entry Types for Topic
Related Topics
- Commodity futures (25)
- Commodity pool operators (24)
- Brokers (21)
- Reporting and recordkeeping requirements (21)
- Advertising (19)
- Consumer protection (17)
- Conflict of interests (5)
- Confidential business information (5)
- Minimum financial and reporting requirements (5)
- Principals (4)
- Customer protection (4)
- Retail foreign exchange dealers (4)
- Prohibited transactions in commodity options (4)
- Swaps (3)
- Securities (3)
- Definitions (3)
- Swap dealers (3)
- Special calls (3)
- Bulk transfers (3)
- Risk assessment (3)
- Customer's money (3)
- Foreign exchange (3)
- Commodity options (3)
- Trading practices (3)
- Freedom of information (3)
- Securities and property (3)
- Major swap participants (3)
- Recordkeeping requirements (3)
- Organization and functions (government agencies) (3)
- Privacy (2)
- Directors (2)
- Disclosure (2)
- Committees (2)
- Agriculture (2)
- Sunshine act (2)
- Registered entity (2)
- Systemic market event (2)
- Agricultural commodity (2)
- Open commission meetings (2)
- Grandfather relief order (2)
- Security futures products (2)
- Designated contract markets (2)
- Electronic trading facility (2)
- Eligible commercial entities (2)
- Eligible contract participants (2)
- Commission records and information (2)
- Federal financial regulatory authority (2)
- Authority delegations (government agencies) (2)
- Credit (1)
- Dealers (1)
- Consumer (1)
- Customer (1)
- Clearing (1)
- Licensing (1)
- Creditors (1)
- Red flags (1)
- Litigation (1)
- Arbitration (1)
- Reparations (1)
- Cardholders (1)
- Registration (1)
- Card issuers (1)
- Miscellaneous (1)
- Identity theft (1)
- Transfer agents (1)
- Consumer reports (1)
- Service provider (1)
- Rules of practice (1)
- Security measures (1)
- Dispute settlement (1)
- Investment advisers (1)
- Affiliate marketing (1)
- Introducing brokers (1)
- Investment companies (1)
- Authorization to trade (1)
- Financial institutions (1)
- Gramm-leach-bliley act (1)
- Adjudicatory proceedings (1)
- Fair credit reporting act (1)
- Exemption from registration (1)
- Futures commission merchants (1)
- Self-regulatory organizations (1)
- Consumer financial information (1)
- Nonpublic personal information (1)
- Authority delgations (government agencies (1)
- Fair and accurate credit transactions act (1)
