EVENT: Other Event Jul 6, 2011

When:

Wednesday, July 6, 2011, 9:00 a.m.

Where:

CFTC’s Hearing Room, 1155 21^st, NW, Washington DC

Topic:

Proposed Changes to Registration and Compliance Regime for Commodity Pool Operators and Commodity Trading Advisors

Listening Information:

Call-in to a toll-free or toll-telephone line to connect to a live audio feed. Call-in participants should be prepared to provide their first name, last name and affiliation. Conference call information is listed below:

US Toll-Free: 1-866-844-9416

International Toll: International Numbers

Passcode: 9730043

9:00 a.m.

First Session—Commission Regulation 4.5

Scope.

a. Appropriate Threshold to Claim Exclusion.

b. Marketing Restriction.

c. Who Should Register as the CPO?

d. Alternatives to the Proposal.

9:35 a.m.

Intermission

9:40 a.m.

Second Session—Commission Regulation 4.5

Harmonization with Securities and Exchange Commission Requirements.

a. Disclosure Requirements.

b. Disclosure Delivery and Updating Requirements.

c. Participant Reporting Requirements.

11:00 a.m.

Break for Lunch

12:00 noon

Third Session—Commission Regulation 4.5

Harmonization with Securities and Exchange Commission Requirements.

a. Books and Records.

b. Use of Controlled Foreign Corporations.

12:40 p.m.

Fourth Session—Commission Regulation 4.13(a)(3)

De Minimis Exemption.

a. Appropriate Threshold to Claim Exemption.

b. Alternative Standards.

1:25 p.m.

Intermission

1:30 p.m.

Fifth Session—Commission Regulation 4.13(a)(4)

Alternative Exemptions.

a. Family Offices.

b. Foreign Commodity Pool Operators.

c. Other Alternatives.

2:00 p.m.

Roundtable concludes