CTA Services


As a CTA running your own trading business, you may find the following articles and resources useful. We’re always in search of publications that our CTA clients may find helpful. If you have something you’d like to contribute to our site, please contact us.


Whether you’re a new CTA or have been in the business for years, this Guide to Becoming a Commodity Trading Advisor created by the Chicago Mercantile Exchange (www.cmegroup.com) contains a good overall view of what it takes to succeed the industry.




The National Futures Association’s Disclosure Documents: A Guide for CPOs and CTAs gives detailed information as to exactly what must be included in a CTA’s disclosure document, as well as an overview of the filing and review process required to get your disclosure document approved for use with investors. It’s also available from www.nfa.futures.org.



This guide from the Chicago Mercantile Exchange’s web site (www.cmegroup.com) called Issues and Insights for Starting a CTA Business covers issues related to business and operations, compliance, trading and risk management. It contains a lot of practical advice that all new or emerging CTAs should consider.




The National Futures Association (www.nfa.futures.org) offers two checklists that CTAs can use to help ensure they are running their businesses according to regulatory requirements. The first is called General Self-Examination Checklist For All Registration Categories and the second is called Supplemental Checklist for CTAs.






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You should fully understand the risks associated with trading futures, options and retail off-exchange foreign currency transactions (“Forex”) before making any trades. Trading futures, options, and Forex involves substantial risk of loss and is not suitable for all investors. You should carefully consider whether trading is suitable for you in light of your circumstances, knowledge, and financial resources. You may lose all or more than your initial investment. Opinions, market data, and recommendations are subject to change without notice. Past performance is not necessarily indicative of future results. Commodity Futures Trading Commission (CFTC) rules require delivery of a disclosure document at or prior to the time an advisory or subscription agreement is delivered. The disclosure document includes the principal risk factors and costs of participating in a particular CTA or CPO program including the potential impact of fees and expenses, the “break-even point” expressed both as a dollar amount and as a percentage return necessary to recover one’s initial investment, if applicable. The CFTC has not passed upon the merits of participating in any one particular investment or on the adequacy or accuracy of any one disclosure document. RCM Futures is a DBA of Reliance Capital Markets II, LLC.