17 C.F.R. § 4.16

Prohibited representations

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It shall be unlawful for any commodity pool operator, commodity trading advisor, principal thereof or person who solicits therefor to represent or imply in any manner whatsoever that such commodity pool operator or commodity trading advisor has been sponsored, recommended or approved, or that its abilities or qualifications have in any respect been passed upon, by the Commission, the Federal government or any agency thereof.

Notes of Decisions

Cited in 2 cases, 2003–2003 · leading case: Commodity Futures Trading Comm'n v. Heffernan, 245 F. Supp. 2d 1276 (S.D. Ga. 2003).

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Commodity Futures Trading Comm'n v. Heffernan, 245 F. Supp. 2d 1276 (S.D. Ga. 2003). · cites it 6× “Count 3: Violation of 17 C.F.R. § 4.16 29 The CFTC alleges that Heffernan, while acting as a CTA, sent two emails, dated January 18, 2001 and February 13, 2001, “falsely suggesting that the CFTC had endorsed [Heffernan’s] web site and products.”

Commodities Futures Trading Comm'n v. Heffernan, 274 F. Supp. 2d 1375 (S.D. Ga. 2003). “41 (b); (4) 17 C.F.R. § 4.16 ; and (5) a September 2000 order of the CFTC.”

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