Worried That Your Next SEC Audit Will End in Fines? TAKE THE ASSESSMENT

Commodity Trading Advisors

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.

Not your daddy's law firm

How we're different

We take a no-nonsense approach to solving your problems. Forget about one-size-fits-all solutions; we roll up our sleeves and craft strategies that fit your financial business like a glove. We’re not just lawyers – we’re compliance partners, financial enthusiasts, and problem solvers.

We get it – you need answers, and you need them now. That’s where we come in, offering a blend of big-firm resources with the kind of personal attention you’d expect from a smaller one.

But what really sets us apart? We’re all about your success. Compliance is just the start; we’re here to help you thrive. We know the ins and outs of the financial world, and we’re not afraid to think outside the box to help you reach your goals while playing by the rules.

Doing Nothing, Changes Nothing.

SEC Risk Assessment Quiz

Trusted RIA Compliance Guidance

What RIAs Should Be Asking Their Attorneys

as a lawyer, I can give you the insights...

We are the answer to All Your Questions.

We Are
My RIA Lawyer

“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.

— Leila Shaver Founder

Questions or Schedule an Appointment? Click to Call

(770) 462-2118