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Series 55 – Equity Trader – Limited Representative Exam; Series 56 – Proprietary Trader Qualification Exam; Series 57 – Securities Trader Qualification Exam [7] Series 62 – Corporate Securities – Limited Representative Exam (Discontinued) Series 63 – Uniform Securities Agent State Law Exam* Series 65 – Uniform Investment Adviser ...
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.
The Department of Business and Professional Regulation (DBPR) is the agency charged with licensing and regulating more than 1.6 million businesses and professionals in the State of Florida, such as alcohol, beverage & tobacco, barbers/cosmetologists, condominiums, spas, hotels and restaurants, real estate agents and appraisers, and veterinarians, among many other industries.
[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 ...
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.
It was created by the National Conference of Commissioners on Uniform State Laws (NCCUSL). The purpose of the Uniform Securities Act is to provide model legislation that can be adopted by a state to deal with securities fraud at the state level, supplementing enforcement and regulation efforts of the U.S. Securities and Exchange Commission (SEC ...
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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.