CPO's Fund and SEC (Federal & State level)

Discussion in 'Professional Trading' started by 88888888, Dec 11, 2008.

  1. For a CPO to setup up a commodity pool (the Fund; assuming the Fund size is more than 1M; trading nothing but futures), I understand that both the CPO and the Fund must register with CFTC/NFA.

    In above case, does the CPO or the Fund need to register with SEC (either Federal or State level)?

    In above case, does the CPO need to become RIA (either Federal or State level)?

  2. et2011et


    Good questions. Does any one know the answers?