NFA/CFTC exemptions for AUM limit?

Discussion in 'Professional Trading' started by Stok, Oct 25, 2011.

  1. Stok


    I cannot find this anywhere. I know if you are under 15 clients and don't hang yourself out to the public as a CTA, you do not need to register. But, is there a AUM limit? I mean, I could have 2 clients with $10M each and manage $20M without having to register?
  2. Stok


    That is geared towards a pool. I'm talking individual accounts...i.e. IB's friends and family. Does the same $400k rule apply there? IB's website doesn't mention anything about that...just if under 15 clients, but if over need to register as CTA or RIA.
  3. You are right, I was thinking of CPO. For a CTA you just have to do it for less than 15 people and do nothing public of any kind, then there is not a dollar limit.