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How do I get a 402 Waiver from the Series 3?
How do I get a 402 Waiver from the Series 3?
NFA Registration Rule 402 provides for a waiver "under circumstances approved by the Board of Directors." Currently, the only waivers involve CPOs or CTAs that deal primarily in securities. For more information, review the NFA Interpretive Notice (for CPOs) or the NFA Intepretive Notice (for CTAs).
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