Commodity Trading Advisor (CTA) Regulatory Obligations
NFA Members must comply with NFA rules and CFTC regulations. Visit the following pages to understand a commodity trading advisor's (CTA) regulatory obligations.
- Annual CTA Requirements
- Books and Records
- Business Continuity and Disaster Recovery
- CTA Reporting Requirements
- Disclosure Documents
- Sales Practice and Promotional Material
- Self-Examination Questionnaire
The information presented here is intended to call attention to key compliance issues. This is not a complete list of requirements. For complete information, visit the NFA Rulebook and CFTC Regulations.