Commodity Trading Advisors (CTAs)
A Commodity Trading Advisor (CTA) is an individual or organization which, for compensation or profit, advises others, directly or indirectly, as to the value of or the advisability of buying or selling futures contracts or commodity options. Providing advice indirectly includes exercising trading authority over a customer's account as well as giving advice through written publications or other media.
A CTA must deliver a Disclosure Document for the offered program to a prospective client prior to or when it delivers the advisory agreement to the client. More...
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| NFA Rules |
Resources |
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| Notices to Members |
Interpretive Notices |
- May 11, 2010
NFA provides guidance for disclosure of business background information by commodity pool operators and commodity trading advisors
- October 16, 2008
NFA Compliance Rules 2-41 and 2-42
- June 20, 2008
Additions and Deletions in Disclosure Documents
- May 24, 2007
Disclosure of Conflicts of Interest
- January 20, 2004
Performance Reporting
- February 01, 2008
Annual Regulatory Reminder for Commodity Trading Advisors
- February 02, 2007
Require Notices of Exemption or Exclusion
- July 24, 2003
Guidance for the Presentation of Performance Data and Disclosure for Commodity Trading Advisors
- March 12, 1999
NFA Compliance Rule 2-35 Interpretive Notice
- November 07, 1996
Amendments to NFA Compliance Rule 2-13
- October 11, 1996
Electronic Filing of Disclosure Documents
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