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If the person in question is a NFA registrant, then go to the NFA to file a
complaint. www.nfa.futures.org. You can look up any NFA registrants status
under the BASIC search function.
If the person is a non-NFA member CTA, registered by the NFA for the CFTC,
then contact the CFTC. www.cftc.gov. You will also be able to see a non-NFA
member CTAs registration on BASIC on the NFA website, but you will notice
their registration status does not inlcude "NFA Member" or "Associate NFA
Member."
If the person is a not an NFA member or registered as a CTA, then contact the
CFTC.
The NFA is a self-regulatory organization, meaning it only regulates its
members. The CFTC covers all those who are non members of the NFA, including
those who are registered as publishing CTA (no-disclosure document, no NFA
membership) and all others.
Regards,
John J. Lothian
Disclosure: Futures trading involves financial risk, lots of it! John J.
Lothian is the President of the Electronic Trading Division of The Price
Futures Group, Inc., an Introducing Broker.
In a message dated 10/27/01 11:13:15 AM Central Daylight Time,
moongateca@xxxxxxxx writes:
<< 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 >>
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