17Commodity and Securities Exchanges12011-04-012011-04-01falseTable Of ContentsCommodity and Securities ExchangesCOMMODITY FUTURES TRADING COMMISSIONCOMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORSSubpart A—General Provisions, Definitions and ExemptionsSec.4.1Requirements as to form.4.2-4.4[Reserved]4.5Exclusion for certain otherwise regulated persons from the definition of the term “commodity pool operator.”4.6Exclusion for certain otherwise regulated persons from the definition of the term “commodity trading advisor.”4.7Exemption from certain part 4 requirements for commodity pool operators with respect to offerings to qualified eligible persons and for commodity trading advisors with respect to advising qualified eligible persons.4.8Exemption from certain requirements of rule 4.26 with respect to pools offered or sold in certain offerings exempt from registration under the Securities Act.4.9[Reserved]4.10Definitions.4.11Exemption from section 4n(3)(B).4.12Exemption from provisions of part 4.4.13Exemption from registration as a commodity pool operator.4.14Exemption from registration as a commodity trading advisor.4.15Continued applicability of antifraud section.4.16Prohibited representations.Subpart B—Commodity Pool Operators4.20Prohibited activities.4.21Required delivery of pool Disclosure Document.4.22Reporting to pool participants.4.23Recordkeeping.4.24General disclosures required.4.25Performance disclosures.4.26Use, amendment and filing of Disclosure Document.Subpart C—Commodity Trading Advisors4.30Prohibited activities.4.31Required delivery of Disclosure Document to prospective clients.4.32Trading on a Registered Derivatives Transaction Execution Facility for Non-Institutional Customers.4.33Recordkeeping.4.34General disclosures required.4.35Performance disclosures.4.36Use, amendment and filing of Disclosure Document.Subpart D—Advertising4.40[Reserved]4.41Advertising by commodity pool operators, commodity trading advisors, and the principals thereof.Appendix A to Part 4—Guidance on the Application of Rule 4.13(a)(3) in the Fund-of-Funds ContextAppendix B to Part 4—Adjustments for Additions and Withdrawals in the Computation of Rate of ReturnAuthority: