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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 ...
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.
Futures Commission Merchant (FCM): a firm or individual that solicits or accepts orders for commodity contracts traded on an exchange and holds client funds to margin, similar to a securities broker-dealer. Most individual traders do not work directly with a FCM, but rather through an IB or CTA.
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.
Before 2010, the ticker (trading) symbols for US options typically looked like this: IBMAF. This consisted of a root symbol ('IBM') + month code ('A') + strike price code ('F'). The root symbol is the symbol of the stock on the stock exchange. After this comes the month code, A-L mean January–December calls, M-X mean January–December puts ...
Commodity Futures Trading Commission Act of 1974; Long title: An Act to amend the Commodity Exchange Act to strengthen the regulation of futures trading, to bring all agricultural and other commodities traded on exchanges under regulation, and for other purposes. Enacted by: the 93rd United States Congress: Effective: October 23, 1974 ...
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The Market Identifier Code (MIC) (ISO 10383) is a unique identification code used to identify securities trading exchanges, regulated and non-regulated trading markets.The MIC is a four alphanumeric character code, and is defined in ISO 10383 [1] by the International Organization for Standardization (ISO). [2]