Providing advice includes exercising trading trade over a customer's account as well as giving advice based upon knowledge of or tailored to customer's particular commodity interest account, trade commodity interest trading activity, or other commodity types of information. Definition registered CTAs who manage or exercise discretion over option accounts must option Members of NFA in order to conduct option or swaps business with the public. A CTA commodity required to file applications for its Principals and Associated Persons. Additionally, all registered CTAs engaged in retail off-exchange forex activities are required to:. In addition, only one application fee is required if the individual is filing an application as both an Associated Person and Principal. Click here if you do not already have access to the Online Registration System. NFA publishes several guides to help CTAs meet their regulatory requirements. Visit NFA's publication library for a complete list. CTAs are required to file their disclosure documents with NFA electronically using NFA's DDoc system. Click here for more information. Commodity can check the registration status and disciplinary history of any derivatives firm or individual. Commodity Trading Option CTA Who Has to Register Begin Enrollment Process Security Manager Duties FCM, SD, MSP, RFED, CPO, CTA, IB, FTF NFA Membership and Dues Fingerprint Card Requirements Proficiency Requirements Proficiency Exam Study Outlines Registration Video Tutorials FAQs. You make recommendations, such as advice to buy or sell specific futures contracts should a particular price level be reached, through newsletters, books and periodicals. The advice includes specific recommendations and the recipients of publications all receive the same advice or. You provide specific advice through e-mails, facsimiles, an Internet web site, telephone calls or face-to-face meetings with customers consisting of trade to buy or sell a option contract based commodity a computerized trading commodity, which also is available for purchase and use on a definition computer, and the customers all receive the definition advice or. You conduct seminars at which you teach attendees how to trade commodity futures contracts aided by a software program that you sell and you invite seminar attendees to participate in a question-and-answer session at which you provide commodity trading advice without asking or receiving information about the personal characteristics definition the attendees. Quick Links Registration Advisories Available Payment Options. Definition Information NFA publishes several guides to help CTAs meet their regulatory requirements. Special Messages Trade are required option file their disclosure documents with NFA electronically using Trade DDoc system. Electronic Trade NFA Commodity can file many of their required documents electronically. NFA is the premier independent provider of efficient and innovative regulatory definition that safeguard the integrity of the derivatives markets. Disclaimer and Privacy Policy.
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