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  2. List of securities examinations - Wikipedia

    en.wikipedia.org/wiki/List_of_securities...

    Series 31 – Futures – Managed Funds Exam* Series 32 – Limited Futures Exam - Regulations; Series 37 – Canada Securities Representative Exam - With Options; Series 38 – Canada Securities Representative Exam - No Options; Series 42 – Registered Options Representative Exam; Series 44 – NYSE Arca Options Market Maker Exam; Series 47 ...

  3. Jack D. Schwager - Wikipedia

    en.wikipedia.org/wiki/Jack_D._Schwager

    Schwager on Futures: Managed Trading: 1996 3 volume series: Book 3 of 3 Getting Started in Technical Analysis: 1999 Stock Market Wizards: Interviews with America's Top Stock Traders: 2001 5 volume series: Book 3 of 5 Market Sense And Nonsense: How The Markets Really Work (And How They Don’t) 2012 Hedge Fund Market Wizards: How Winning Traders ...

  4. Commodity trading advisor - Wikipedia

    en.wikipedia.org/wiki/Commodity_trading_advisor

    A commodity trading advisor (CTA) is US financial regulatory term for an individual or organization who is retained by a fund or individual client to provide advice and services related to trading in futures contracts, commodity options and/or swaps. [1] [2] They are responsible for the trading within managed futures accounts.

  5. Uniform Investment Adviser Law Exam - Wikipedia

    en.wikipedia.org/wiki/Uniform_Investment_Adviser...

    Each Series 65, Uniform Investment Adviser Law Examination, contains a total of 140 questions. One hundred thirty (130) of the questions count toward whether the candidate passes or fails the Series 65 exam. The other 10 questions are pretest and could appear in any position within the exam but do not count towards the final grade.

  6. National Futures Association - Wikipedia

    en.wikipedia.org/wiki/National_Futures_Association

    The National Futures Association (NFA) is the self-regulatory organization (SRO) for the U.S. derivatives industry, including on-exchange traded futures, retail off-exchange foreign currency and OTC derivatives . NFA is headquartered in Chicago and maintains an office in New York City.

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  8. Texas Department of Licensing and Regulation - Wikipedia

    en.wikipedia.org/wiki/Texas_Department_of...

    The Texas Department of Licensing and Regulation (TDLR) is a state agency of Texas. TDLR is responsible for licensing and regulating a broad range of occupations, businesses, facilities, and equipment in Texas. [1] TDLR has its headquarters in the Ernest O. Thompson State Office Building in Downtown Austin. [2] [3]

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