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Series 11 – Assistant Representative – Order Processing; Series 15 – Foreign Currency Options Exam; Series 17 – United Kingdom Securities Representative Exam; Series 22 – Direct Participation (Limited partnerships) Exam; Series 30 – NFA Branch Manager Exam; Series 31 – Futures – Managed Funds Exam* Series 32 – Limited Futures ...
Commodity Futures Trading Commission (CFTC) Act of 1974 (P.L. 93-463) created the Commodity Futures Trading Commission, to replace the U.S. Department of Agriculture's Commodity Exchange Authority, as the independent federal agency responsible for regulating the futures trading industry.
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.
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.
[3] State laws governing issuance and trading of securities are commonly referred to as blue sky laws and mostly deal with fraud and fraud investigation privileges, registration of securities, and registration of broker-dealers. In general, states allow injunctions to stop businesses from potentially fraudulent activity and states give broad ...
Donald Trump's proposed tariffs could have major consequences for California's economy, which has a lot riding on trade, especially with China and Mexico. Trump tees up tariff hikes on top trading ...
Commodity Exchange Act (ch. 545, 49 Stat. 1491, enacted June 15, 1936) is a federal act enacted in 1936 by the U.S. Government, with some of its provisions amending the Grain Futures Act of 1922. The Act provides federal regulation of all commodities and futures trading activities and requires all futures and commodity options to be traded on ...
The California Attorney General this week went after what it said was a scheme to inflate fuel prices in California, where prices at the pump are always significantly higher than the rest of the ...