17 C.F.R. § 5.4

Applicability of part 4 of this chapter to commodity pool operators and commodity trading advisors

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Part 4 of this chapter applies to any person required pursuant to the provisions of this part 5 to register as a commodity pool operator or as a commodity trading advisor. Failure by any such person to comply with the requirements of part 4 will constitute a violation of this section and the relevant section of part 4.

Notes of Decisions

Cited in 2 cases (2 in the last 5 years), 2022–2024 · leading case: Commodity Futures Trading Comm'n v. Fin. Tree (E.D. Cal. 2022).

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Commodity Futures Trading Comm'n v. Fin. Tree (E.D. Cal. 2022). · cites it 2× “4, 17 C.F.R. § 5.4 (2021), states that Part 4 of 22 the Regulations, 17 C.”

Commodity Futures Trading Comm'n v. Bryant (W.D.N.C. 2024). · cites it 2× “17 C.F.R. § 5.4 . Here, the undisputed facts show that Defendants failed to maintain required books and records concerning their activities as CTAs.”

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