Resources

There are a number of resources available for CTA’s. We have found the following to be especially helpful :

National Futures Association (NFA)

Disclosure Documents – A Guide for CPO’s and CTA’s. (http://www.nfa.futures.org/NFA-compliance/publication-library/disclosure-document-guide.pdf) – A thorough guide detailing who must prepare Disclosure Doc’s, rules regarding the content, and information related to the filing/review process.
General Self-Examination Checklist for All Registration Categories. (http://www.nfa.futures.org/nfa-compliance/publication-library/self-exam-checklist-general.pdf) – A list of general guidelines for all NFA registered CTA’s, CPO’s, FCM’s, and IB’s. This contains general guidelines to follow in ensuring that your business is being operated in conjunction with NFA regulations. This can also be a helpful list in preparing for an NFA audit.
Supplemental Checklist for CTA’s (http://www.nfa.futures.org/nfa-compliance/publication-library/self-exam-checklist-cta.pdf) – Similar to the General Checklist above, these guidelines are specific to CTA’s. It is good to be familiar with both checklists as you prepare for an NFA audit.
NFA Regulatory Requirements (http://www.nfa.futures.org/nfa-compliance/publication-library/regulatory-requirements-guide.pdf) An overview of regulatory requirements that apply to NFA members. Mostly geared towards FCM’s and IB’s, but can also be helpful for CTA’s and CPO’s.

CME Group

Issues and Insights for Starting a CTA Business – A nice general overview of items that new or prospective CTA’s should consider as they structure and organize.
Getting Started with Trading (http://www.cmegroup.com/education/getting-started.html) – A number of CME Group links including further information on Futures, Options, & Derivatives.

BarclayHedge

Hedge Fund and CTA Industry Term Definitions (http://www.barclayhedge.com/research/definitions/index.html) – A list of terms that CTA’s may find helpful