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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 ...
The trading floor scene at the end of the movie was set at the previous trading floor of the New York Board of Trade at 4 World Trade Center. [9] The official address of the New York Board of Trade headquarters and trading facility, located in the New York Mercantile Exchange Building, is One North End Avenue, New York, NY 10282-1101.
Some state laws and broker/dealer policies also require the Series 63 examination (known as the Uniform Securities Agent State Law Exam). [ citation needed ] [ 1 ] A registered representative ("RR" or "rep" or "broker") is authorized to sell a large array of securities such as stocks, bonds, options, mutual funds, limited partnership programs ...
Futures and some aspects of derivatives are regulated by the Commodity Futures Trading Commission (CFTC). Understanding and complying with security regulation helps businesses avoid litigation with the SEC, state security commissioners, and private parties. Failing to comply can even result in criminal liability. [2]
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.
Historically, commodity brokers traded grain and livestock futures contracts. Today, commodity brokers trade a wide variety of financial derivatives based on not only grain and livestock, but also derivatives based on foods/softs, metals, energy, stock indexes, equities, bonds, currencies, and an ever growing list of other underlying assets.
Below is a ranking of major exchange groups that offer exchange-traded derivatives (ETD), according to "Trends in ETD Trading Annual Review – 2023" published by the Futures Industry Association (FIA) on 31 January 2024.
Global Trading Systems, which uses the trade name GTS, is an American proprietary trading and market making firm headquartered in New York. The firm accounts for 3 to 5 percent of the daily turnover of US equities and has handled over 250 IPO listings since 2013. GTS has additional offices in Chicago, Florida, London, Paris, Warsaw, and Israel.