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Thanks to all who responded. It appears from the comments I've received
that it is probably OK for an employee to trade the company's 401(k) plan.
Just to be on the safe side, I plan on following up on Joe's suggestion to
check with a securities lawyer.
If I might trouble you CTA knowledgeable folks with one more (hypothetical)
question:
If I should go ahead and trade the company's 401(k) money (without CTA
registration), and earn a decent return ...am I subject to any fines or
penalties, or is the plan at risk of cancellation, etc if it turns out I
should have gotten the CTA ? Or maybe more to the point, does anybody
(CFTC, ERISA, etc) care as long as I make money for the plan ?
That's my last question on this 'off topic' item, and thanks again for your
inputs.
Jim
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