Series 3: 7.1.4.1. Domestic Commodity Trading Advisor Exemptions

Taken from our Series 3 Online Guide

7.1.4.1. Domestic Commodity Trading Advisor Exemptions

Commodity trading advisors are exempt from CFTC registration if they meet any of the following requirements:

• It trades in commodities in the cash market and its commodity trading advice is solely incidental to this business.

• It is a nonprofit or trade association and its commodity trading advice is solely incidental

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