Legal Question in Investment Law in Nebraska

Exeption CFTC Registration
If my fund invests less than 5% of its total assets in commodities, does it still have to register with the CFTC? Does it make a difference whether our investors are accredited or not?

Asked on 1/02/09, 3:21 pm

Warren Markowitz Warren R. Markowitz, Esq

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Re: Exeption CFTC Registration

You're asking two different questions.

The first deals with the registration with the CFTC as a commodities advisor. If you are holding yourself out as one, then you must register.

As for the Accredited Investor question, this extends to how you are raising the capital for the fund and to whom you are marketing it.

If you need additional help in this matter, please contact my office.

Answered on 1/02/09, 3:24 pm

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