Vedder Price

Vedder Thinking | Events Managing Private Funds Following the Repeal of CFTC Regulation 4.13(a)(4)


Reader View


June 19, 2012

12:00 PM - 1:00 PM Central Standard Time

On February 9, the U.S. Commodity Futures Trading Commission (CFTC) rescinded the exemption relied upon by managers of 3(c)(7) funds to avoid the need to register as a commodity pool operator (CPO). In addition, the CFTC amended the de minimis exemption from CPO registration, CFTC Regulation 4.13(a)(3). This webinar will examine the amended de minimis rule and review other available CPO exemptions, as well as provide an overview of the CPO and CTA registration process.

Attorneys Deborah Bielicke Eades and Joseph M. Mannon will discuss these and other topics:

  • Timing of registration requirements and developing a plan for registration
  • Employee and principal licensing requirements
  • Scope of the de minimis exemption following adoption of swap definitions and establishment of a testing program
  • Forms CPO-PQR and CTA-PR

Please join us for a 60-minute presentation, including 15 minutes of audience Q&A.

Login information and presentation materials will be provided prior to the webinar. Please direct all questions to Lisa Kurth at or +1 (312) 609 4162.

This is a complimentary program.

CLE Credit

Vedder Price is an Accredited Provider of Continuing Legal Education in Illinois and New York. This program has been approved for 1 hour of Illinois General CLE credit and 1 hour of New York CLE credit, assuming the minimum requirements are met.


Deborah Bielicke Eades


Joseph M. Mannon