CFTC is proposing amendments to agency regulations on Commodity Pool Operators

May 4, 2020 – The Commodity Futures Trading Commission (CFTC or Commission) is proposing amendments to agency regulations on Commodity Pool Operators.   

Specifically, the proposal would eliminate the pool-specific reporting requirements in existing Schedules B and C of Form CPO-PQR, other than the pool schedule of investments, and amend the information in existing Schedule A of the form to request Legal Entity Identifiers (LEIs) for commodity pool operators (CPOs) and their operated pools that have them, and to eliminate questions regarding pool auditors and marketers.  

All CPOs would be required to file the resulting amended Form CPO-PQR quarterly but would also be allowed to file NFA Form PQR, a comparable form required by the National Futures Association (NFA), in lieu of filing the revised Form CPO-PQR.  

Additionally, the Commission would also no longer accept filing Form PF in lieu of the revised Form CPO-PQR.  

The Commission preliminarily believes that these amendments would focus Form CPO-PQR on data elements that facilitate the Commission’s oversight of CPOs and their pools in connection with its use of other Commission data streams and regulatory initiatives while reducing overall data collection requirements for market participants. 

Comments must be received on or before June 15, 2020.

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