17 C.F.R. § 4.15

Continued applicability of antifraud section

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The provisions of section 4o of the Act shall apply to any person even though such person is exempt from registration under this part 4, and it shall continue to be unlawful for any such person to violate section 4o of the Act.

[50 FR 15884, Apr. 23, 1985]

Notes of Decisions

Cited in 1 case, 2003–2003 · leading case: Commodity Futures Trading Comm'n v. Wall Street Underground, Inc., 281 F. Supp. 2d 1260 (D. Kan. 2003).

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Commodity Futures Trading Comm'n v. Wall Street Underground, Inc., 281 F. Supp. 2d 1260 (D. Kan. 2003). “Section 4o(1)(B) of the Act prohibits a CTA from engaging in any transaction, practice, or course of business that operates as a fraud or deceit upon any client or prospective client.”

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