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Commodity Pool Operators (CPOs) & Commodity Trading Advisors (CTAs)

  • Staff Guidance on Commodity Pool Operator Annual Reports and Other Issues

    The Commission’s Division of Swap Dealer and Intermediary Oversight issues annual guidance letters to assist commodity pool operators (CPOs), and their public accountants, in complying with the CFTC’s regulations on the preparation and filing of commodity pool annual financial reports.

    Annual Guidance Letters for Commodity Pool Operators

    2011 (PDF) 2010 (PDF) | 2009 (PDF) | 2008 (PDF) | 2007 (PDF) | 2006 (PDF) | 2005 (PDF) | 2004 (PDF) | 2003 (PDF) | 2002 (PDF) | 2001 (PDF) | 2000 | 1999 | 1998

    Additional Guidance Regarding Commodity Pool Annual Reports

    • Interpretative Letter No. 94-3: Special Allocations of Investment Partnership Equity or Other Interests to a General Partner.
    • CFTC Regulation 4.22(f) regarding extensions of time to file CPO annual reports.
    • Part 4 of the CFTC’s regulations regarding commodity pool annual report requirements.


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See Also:

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