CFTC RULE 4.41

Hypothetical performance limitations under CFTC regulations.

Risk & Compliance Article 4 of 4

CFTC Rule 4.41: Hypothetical or simulated performance results have certain limitations. Unlike an actual performance record, simulated results do not represent actual trading.

Key Limitations

  • Simulated results do not represent actual trading.
  • Results may have under- or over-compensated for the impact of certain market factors, such as lack of liquidity.
  • Simulated trading programs are designed with the benefit of hindsight.
  • No representation is being made that any account will or is likely to achieve profit or losses similar to those shown.
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