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CFR › Title 17 › Chapter I › Part 4 › Subpart B › Section 4.27

17 CFR 4.27 - Additional reporting by advisors of commodity pools.

There are 2 Updates appearing in the Federal Register for 17 CFR 4. Select the tab below to view, or View eCFR (GPOAccess)
§ 4.27 Additional reporting by advisors of commodity pools.
Except as otherwise expressly provided in this section, CPOs and CTAs that are dually registered with the Securities and Exchange Commission and are required to file Form PF pursuant to the rules promulgated under the Investment Advisers Act of 1940, shall file Form PF with the Securities and Exchange Commission in lieu of filing such other reports with respect to private funds as may be required under this section. In addition, except as otherwise expressly provided in this section, CPOs and CTAs that are dually registered with the Securities and Exchange Commission and are required to file Form PF pursuant to the rules promulgated under the Investment Advisers Act of 1940, may file Form PF with the Securities and Exchange Commission in lieu of filing such other reports with respect to commodity pools that are not private funds as may be required under this section. Dually registered CPOs and CTAs that file Form PF with the Securities and Exchange Commission will be deemed to have filed Form PF with the Commission for purposes of any enforcement action regarding any false or misleading statement of a material fact in Form PF.
[76 FR 71174, Nov. 16, 2011]
§ 4.27, Nt.
Effective Date Notes:
1. At 77 FR 11285, Feb. 24, 2012, § 4.27 was amended by adding paragraph (b)(5), effective April 24, 2012. For the convenience of the user, the added text is set forth as follows:
2. At 77 FR 17330, Mar. 26, 2012, § 4.34 was amended by adding paragraph (b)(4), effective April 24, 2012. For the convenience of the user, the added text is set forth as follows:

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2012-11-02; vol. 77 # 213 - Friday, November 2, 2012
    1. 77 FR 66288 - Adaptation of Regulations To Incorporate Swaps
      GPO FDSys XML | Text
      COMMODITY FUTURES TRADING COMMISSION
      Final rules.
      Effective January 2, 2013.
      17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.

United States Code
USC : Title 7 - AGRICULTURE

§ 1a - Definitions

§ 2 - Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce

§ 4

§ 6b - Contracts designed to defraud or mislead

§ 6c - Prohibited transactions

7 USC § -

§ 6m - Use of mails or other means or instrumentalities of interstate commerce by commodity trading advisors and commodity pool operators; relation to other law

§ 6n - Registration of commodity trading advisors and commodity pool operators; application; expiration and renewal; record keeping and reports; disclosure; statements of account

7 USC § -

§ 12a - Registration of commodity dealers and associated persons; regulation of registered entities

§ 23 - Standardized contracts for certain commodities

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 4 after this date.

  • 2012-11-02; vol. 77 # 213 - Friday, November 2, 2012
    1. 77 FR 66288 - Adaptation of Regulations To Incorporate Swaps
      GPO FDSys XML | Text
      COMMODITY FUTURES TRADING COMMISSION
      Final rules.
      Effective January 2, 2013.
      17 CFR Parts 1, 4, 5, 7, 8, 15, 16, 18, 21, 22, 36, 38, 41, 140, 145, 155, and 166