Data / Federal rules / 2026-17079
Commodity Pool Operators and Commodity Trading Advisors: Reduction of Duplicative Regulation Through Intermediary Registration Exemptions; Expansion of the Exemption for Small Commodity Pools
The Commodity Futures Trading Commission published this proposed rule in the Federal Register on August 21, 2026. Comments closed on October 5, 2026.
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What the agency says
The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing several amendments to its registration requirements for certain commodity pool operators ("CPOs") and commodity trading advisors ("CTAs") to reduce duplicative and overlapping regulation and reflect inflation ("Proposal"). The Proposal would add an exemption from CPO registration for certain investment advisers registered with the Securities and Exchange Commission ("Registered Investment Advisers" or "RIAs") in relation to commodity pools for which the participants are limited to certain sophisticated investors and which meet other conditions; add a related registration exemption for CTAs; and increase the total gross capital contributions threshold in the CPO registration exemption for small commodity pools (commonly referred to as the "Small Pool Exemption") to account for inflation. The Commission preliminarily intends for the Proposal, if adopted, to supersede certain no-action positions issued by the Commission's Market Participants Division ("MPD").
Key facts
- Document number
- 2026-17079
- Type
- Proposed rule
- Action
- Notice of proposed rulemaking
- Agency
- Commodity Futures Trading Commission
- Published
- August 21, 2026
- Comments due
- October 5, 2026
- Dates
- Comments must be in writing and received by October 5, 2026.
- Regulation ID (RIN)
- 3038-AF78
- Code of Federal Regulations
- 17 CFR 4
- Topics
- Reporting and recordkeeping requirements; Securities; Swaps
- Pages
- 17
Other documents from the Commodity Futures Trading Commission
| Document | Type | Published |
|---|---|---|
| Further Definition of “Swap”-Inclusions 2026-21377 | Proposed rule | Oct 19 |
| Further Definition of “Swap” To Exclude Casino-Style Gambling Products 2026-21376 | Final rule | Oct 19 |
| Regulation Crypto Asset Transactions and Regulation Crypto Asset Markets 2026-20888 | Proposed rule | Oct 13 |
| Privacy Act Regulations 2026-19290 · significant | Proposed rule | Sep 21 |
| Whistleblower Award Determination 2026-19006 | Final rule | Sep 16 |
| Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for CAD and MXN Interest Rate Benchmark Transitions 2026-18212 | Final rule | Sep 8 |
| Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date 2026-18104 | Final rule | Sep 3 |
| Swap Execution Facility Order Book Requirement for Permitted Transactions 2026-17416 | Proposed rule | Aug 26 |
Everything from the Commodity Futures Trading Commission · Rules on reporting and recordkeeping requirements · Rules on securities · Rules on swaps · Published in August 2026
Read from the Federal Register API, last updated 2026-10-23. The document on federalregister.gov is the official record; dates and dockets can change through later corrections. Free to reuse with credit to SpecStream under CC BY 4.0.