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Posts Tagged ‘ registration requirement ’

26 August
Posted in Hedge Fund Questions and Answers, Legal Resources, Regulatory Actions
3

CTA registration requirement and exemption

Question: does my commodity/futures trading firm need to register as a CTA? Answer: Generally Section 6m(1) of the Commodities Exchange Act (“CEA”) requires that any person (or firm) which falls within the definition of a CTA be registered as such. Section 6m(1) of the CEA states: “It shall be unlawful [...]

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