Series 3 expiring 1.5 months, How to re-register again w/NFA

Call the NFA at:

(800)621-3570

Tell them you do not want to take the series 3 again and that you are not trading anybody's money. Tell them you heard that you could just pay your license.

They will advise you...

When you get your statement pay the CFTC license fee but skip the 1k for the NFA registration. After you pay, wait a week and call them and make sure everything is ok..

This is exactly what I did. Make sure you update your profile on the website to have the latest info on you. They will record that you withdrew your registration, but that is not a bad thing...

Remember, if you touch another persons money or advertise make sure you get your disclosure doc's approved again and pay the registration...

Michael B.

P.S. However I was a CTA...maybe you must become one first to later let it go dorment...
 

Pay the hundred dollars or so to the NFA to license you with the CFTC, but do not register with the NFA...(warning: do not solicit customers in their regulated Industries)


So in this case, you have registered with CFTC, but you did not register with NFA. In this case, are you a CTA or not?

I understand that since you did not register with NFA, so you can not pub solicitate clients, but are you a CTA? and can you pub say you are a CTA? (even you can not take any client pub)
 
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