A Commodity Trading Advisor (CTA) provides commodity trading advice as to the value of trading futures contracts, options on futures, retail off-exchange forex contracts or swaps.
There are specific proficient requirements to be registered as a CTA. The National Futures Association (NFA) requires CTA registration as the self-regulatory organization of the industry. At My RIA Lawyer, we provide a variety of commodity trading advisor services that help you become registered and stay in compliance.
The regulations for CTAs date back to the late 1970s as commodity market investing became more accessible to retail investors. The Commodity Futures Trading Commission (CFTC) has gradually expanded the requirements for CTA registration over time.
A CTA must comply with NFA rules and CFTC regulations. From annual CTA requirements, books and records, business continuity, cybersecurity, disclosure, reporting, sales practices, self-examination and supervision requirements, we take care of all CTA regulatory obligations. Let My RIA Lawyer show you how our commodity trading advisor services can help you remain compliant of all current laws and regulations.
Making the jump to start your own firm is a big decision. Its stressful, hard work, and you have to learn a ton. This why I decided to hire a professional team to help establish my RIA the right way the first time. My RIA Lawyer’s team is absolutely amazing. They have demonstrated expert knowledge, personable staff, and they have shown us how much they genuinely care about setting us up for success by giving us the tools we need to help others. Thank you Leila and Liz for all of your hard work!
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I worked with Leila as I was getting my new RIA firm up and running. Leila provided expert legal advice as a complement to the national compliance firm who was assisting me with my registration. I was introduced to Leila after I had already begun the process and not sure how I would have made it through without her. She was an invaluable resource and I look forward to working together again in the future!
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Leila is an expert with compliance but she also offers a wealth of knowledge as a business owner. We discussed everything including compliance, marketing, business partnerships, and more. Even though my firm is not yet at a point to work with her, she has sent me multiple emails offering assistance with the things we spoke about during our meeting.
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“It’s important that you look at your legal provider and who it is you have invested in to protect your business, so there are a few things you should be asking your lawyer. First, do they know what the heck you’re doing? Do they know the services you provide? The fees you’re charging? Do they understand securities? One of the problems I see when there is a legal action or when there’s an enforcement action, is that so many of you are going to attorneys that have ZERO securities experience! You’re going to, God forbid, a general practitioner!! That’s not the kind of lawyer you want, you want a securities attorney! You want them to understand your business.“
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