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Not necessarily. The rules on CTA have changed dramatically since the CFTC
lost it's "freedom of speech" court case. I got into a debate with someone
who was selling advice and did not have a CTA. He claimed that he did not
need it and that the CFTC had given him an exemption. I went digging
thorough the CFTC site (a job for the pigheaded) and he's right. I'll dig
out what I found and post it.
Regards,
Mike
----- Original Message -----
From: "TradingSystem.Com" <mike@xxxxxxxxxxxxxxxxx>
To: "Rich Tuchow" <rtuchow@xxxxxxxxxxxxxxx>
Cc: <omega-list@xxxxxxxxxx>
Sent: Saturday, October 27, 2001 10:43 AM
Subject: RE: Filing a complaint
> Go the NFA website. He must have Series 3 certification and operating as a
> CTA (Commodity Trading Advisor), CPO (Commodity Pool Operator) or an IB
> (Introducing Broker). However there are other rules that apply. The NFA
> (National Futures Association) site is: www.nfa.futures.org . If you wish
to
> file a complaint jump to this page:
> http://www.nfa.futures.org/basic/welcome.asp .
>
> Mike.
>
> -----Original Message-----
> From: Rich Tuchow [mailto:rtuchow@xxxxxxxxxxxxxxx]
> Sent: Friday, October 26, 2001 2:13 PM
> To: omega-list@xxxxxxxxxx
> Subject: Filing a complaint
>
>
> Could someone point me in the right direction for registering a complain
on
> a individual dispensing commodity trading advice? I cannot tell from
their
> website whether they are a registered CTA or not. I went to the CFTC
> website but from what I could tell it looks like you can only file a
> complaint with the CFTC if they are registered.
>
> Any help would be appreciated.
>
>
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