Field Definition
nfaId National Futures Association (NFA) number for the Investor as indicated on the subscription document.
commodityTradingAdvisor Indicator that denotes whether the Investor is a commodity trading advisor.
operator Indicator that denotes whether the investor is a CPO as indicated on the subscription document.
otherDescription Description that denotes when the investor is something other than a commodity pool operator or commodity trading advisor.
cftcCertification Identifies the investor's Commodity Futures Trading Commission (CFTC) Rule 4.7 status. Value options are 'true', 'false' or blank.
cftcCertificationNotAcquiringSecOffered Identifies CFTC Rule 4.7 classification
cftcCertAccreditedInvestor Indicates each of the investor’s equity owners is an accredited Investor for one of many reasons. Values options are 'true', 'false' or blank.
rule413Exempt CFTC Rule 4.7 Classification: Relies upon an exemption from registration under CFTC Rule 4.13 (e.g., the 4.13(a)(3) "de minimis exemption") and has filed a notice claiming this exemption with the NFA.
noActionLetter1238 CFTC Rule 4.7 Classification: Is a "fund of funds", relies upon CFTC No-Action Letter 12-38, and has submitted a claim for no-action relief to the CFTC.
rule45Required CFTC Rule 4.7 Classification: Relies upon the exclusion under CFTC Rule 4.5 and has filed a notice claiming this exclusion with the NFA.* (For example, registered investment companies may rely upon this exclusion.).
rule45NotRequired  
noActionLetter1237 CFTC Rule 4.7 Classification: Is a "family office", relies upon CFTC No-Action Letter 12-37, and has submitted a claim for no-action relief to the CFTC.
interpretiveGuidance CFTC Rule 4.7 Classification: Is a "family office" pursuant to CFTC Interpretive guidance (other than CFTC No-Action Letter 12-37) and is not a commodity pool.
charitableFoundation CFTC Rule 4.7 Classification: Is a charitable foundation and its operator is not required to register as a commodity pool operator.
rule310Exempt Each of the Investor, its operator and each direct and indirect beneficial owner of the Investor is a person located outside the United States and the Investor is exempt from registering with the CFTC under CFTC Rule 3.10(c)(3)."
otherExemptionDesc Provides additional detail when "Other Exemption" is true.
notEngaged Not engaged in any activity that implicates CFTC registration requirements.

 

Business Line: 
IMS
Data Type (L): 
object
Overwrite tag: 
Do not Overwrite