Live Trading Room

Discussion in 'Educational Resources' started by Trade4gainz, Nov 13, 2018.

  1. MarkBrown

    MarkBrown

    take the series 3 and or register as a informational cta - if they still have that.
     
    #11     Nov 13, 2018
  2. so if i take the series 3 exam i can legally open a live trading room for subscription based?
     
    #12     Nov 13, 2018
  3. Overnight

    Overnight

    We got a bit off-kilter here. Apologies.

    In the US, you can have a "live trading room", show your trades, etc with no license. Just use the standard disclaimers on your site as mentioned above.

    The key pin on your room's legality would be if you are "telling people" to take the trades, or merely show the trades and peeps could do with that what they will. In the grand scheme of things here in the US man, if you just open a room and show your trades and have those disclaimers, you should be fine.

    Don't sweat it. The regulatory bodies here have a lot more on their plate to chase down than a simple folk with a screen-sharing room. :)
     
    #13     Nov 13, 2018
    coplii likes this.
  4. MarkBrown

    MarkBrown

    yes with proper disclosure that you have no actual track record when you begin. you can state a hypothetical track record but it must be stated as such. if you do have a track record i think you can use it, but i would have it independently audited.
     
    #14     Nov 13, 2018
    coplii likes this.
  5. toc

    toc

    Basically, you are running a newsletter service for which no registration is required as long as your advises are general i.e. for all and not specific to single clients on individual portfolio basis.

    It would be a good idea to check with one of the similar services that you plan to offer. They would definitely have correct inputs as they are in the middle of "real action" of providing newsletter/signal type services.
     
    #15     Nov 14, 2018
  6. MarkBrown

    MarkBrown

    i think you find if he publishes he will have to register - he must charge a flat rate to qualify as publishing cta "i think" if it's based on percentage etc. they construe that differently. either way he has to have all the proper disclaimers and can not ever offer a live account as any proof of trading.
     
    #16     Nov 16, 2018
    coplii likes this.
  7. toc

    toc

    For only stocks, he might not need any registration. Even percentage incentive can be charged for upto 15 clients in both stocks and commodities (not sure, so correct me if wrong).
     
    #17     Nov 17, 2018
  8. MarkBrown

    MarkBrown

    right and there is some kind of cap on the total amount of money as well. there have been recent cases where they have made so called publishers also register, i think because of the size of the subscription base.
     
    #18     Nov 17, 2018
  9. lukas

    lukas Guest

    Isn't there a potential for the clients of such a trading room to abuse it? For instance, a client can share their screen with unlimited number of other users who are not paying for the service. How do you plan to prevent that?
     
    #19     Mar 18, 2019
  10. lukas

    lukas Guest

    Is a live trading room a viable business model? How many clients are you looking to have over the next 12 months? How much are you going to charge?
     
    #20     Mar 26, 2019