CFTC Rules & Regulations

1.12   Maintenance of minimum financial requirements by futures commission merchants and introducing brokers.

1.10   Financial reports of futures commission merchants and introducing brokers.

§ 160.1   Purpose and scope.

(a) Purpose. This part governs the treatment of nonpublic personal information about consumers by the financial institutions listed in paragraph (b) of this section. This part:

(1) Requires a financial institution to provide notice to customers about its privacy policies and practices;

(2) Describes the conditions under which a financial institution may disclose nonpublic personal information about consumers to nonaffiliated third parties; and

[Title 17: Commodity and Securities Exchanges]

PART 30—FOREIGN FUTURES AND FOREIGN OPTIONS TRANSACTIONS

Section Contents

§ 30.1   Definitions.

§ 30.2   Applicability of the Act and rules.

§ 30.3   Prohibited transactions.

§ 30.4   Registration required.

§ 30.5   Alternative procedures for non-domestic persons.

§ 30.6   Disclosure.

4.36   Use, amendment and filing of Disclosure Document.

(a) Subject to paragraph (c) of this section, all information contained in the Disclosure Document must be current as of the date of the Document; Provided, however, that performance information must be current as of a date not more than three months preceding the date of the Document.

(b) No commodity trading advisor may use a Disclosure Document dated more than nine months prior to the date of its use.

4.35   Performance disclosures.

(a) General principles —(1) Capsule performance information. Unless otherwise specified, disclosure of the past performance of an account or trading program required under this §4.35 must include the following information:

(i) The name of the commodity trading advisor or other person trading the account and the name of the trading program;

4.34   General disclosures required.

Except as otherwise provided herein, a Disclosure Document must include the following information.

(a) Cautionary Statement. The following Cautionary Statement must be prominently displayed on the cover page of the Disclosure Document:

THE COMMODITY FUTURES TRADING COMMISSION HAS NOT PASSED UPON THE MERITS OF PARTICIPATING IN THIS TRADING PROGRAM NOR HAS THE COMMISSION PASSED ON THE ADEQUACY OR ACCURACY OF THIS DISCLOSURE DOCUMENT.

4.26   Use, amendment and filing of Disclosure Document.

(a)(1) Subject to paragraph (c) of this section, all information contained in the Disclosure Document and, where used, profile document, must be current as of the date of the Document; Provided, however, that performance information may be current as of a date not more than three months prior to the date of the Document.

(2) No commodity pool operator may use a Disclosure Document or profile document dated more than nine months prior to the date of its use.

4.25   Performance disclosures.

(a) General principles —(1) Capsule performance information —(i) For pools.Unless otherwise specified, disclosure of the past performance of a pool must include the following information. Amounts shown must be net of any fees, expenses or allocations to the commodity pool operator.

(A) The name of the pool;

(B) A statement as to whether the pool is:

4.24   General disclosures required.

Except as otherwise provided herein, a Disclosure Document must include the following information.

(a) Cautionary Statement. The following Cautionary Statement must be prominently displayed on the cover page of the Disclosure Document.

THE COMMODITY FUTURES TRADING COMMISSION HAS NOT PASSED UPON THE MERITS OF PARTICIPATING IN THIS POOL NOR HAS THE COMMISSION PASSED ON THE ADEQUACY OR ACCURACY OF THIS DISCLOSURE DOCUMENT.