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Series 30 – NFA Branch Manager Exam; 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 ...
Firms may register both as a broker-dealer and a commodity broker. In addition, each person employed by these firms who deals with the public must pass industry examinations such as the Series 3 for futures, Series 4 for options and Series 7 exam for equities and bonds. [12]
The Series 7 is a three-hour, forty-five-minute exam. [1] It is held in one four-hour session. There are 125 questions on the test. Candidates have to score at least 72% to pass. The SIE Exam and the Series 7 Exam are co-requisite exams. [9] Average study time is between 80 and 150 hours depending on current financial knowledge. [10]
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.
Gross market values, which represent the cost of replacing all open contracts at the prevailing market prices, have increased by 74% since 2004, to $11 trillion at the end of June 2007. (page 28) Notional amounts outstanding as of December 2012 are $632 trillion as per recent survey. [3]
Continue reading ->The post A Guide to the Series 99 License and Exam appeared first on SmartAsset Blog. They bring clients aboard, receive and deliver funds and assets, collect payments, maintain ...
The FAF founded the Institute of Chartered Financial Analysts in 1962; the earliest CFA charter-holders were "grandfathered" in through work experience only, but then a series of three examinations was established along with a requirement to be a practitioner for several years before taking the exams.
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