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Hi John,
Can you clarify whether your question is about brokers or any other non
-registered individual.
I know the legislation about CTAs and newsletter writers, Hotlines,
software developers etc
is getting a lot weird in the US, but I always thought brokers were
registered to give advice.
OR IS IT EVEN WORSE THAN I THOUGHT!!!.
David Hunt
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> From: John <john@xxxxxxx>
> To: RealTraders Discussion Group <realtraders@xxxxxxxxxxxxxx>
> Subject: GEN: Ethical / Legal Questions
> Date: Thursday, October 23, 1997 5:10 AM
>
> A hypothetical situation:
> An associated person publishes the work of a registerd CTA (with
> or with out permission) as his own, for the purpose of soliciting
> leads. What laws would be broken and how serious would it be.
>
> Under what conditions can a broker publicly publish trading advice
> with out being a CTA?
>
>
>
>
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