Links


ADMINISTRATIVE:

To make an appointment for an exam, you may call either Thompson-Prometric at (800) 578-6273 or Pearson VUE at (866) 396-6273 after your
U-10 test form has been submitted. For more information, including testing center locations, click on one of the following links:

Need a test application form U-10? Click here.

FUTURES:

Consulting Firms – Educational:

  • Investment Reference, Inc.
    This is one of the strongest firms available to help you set up your CTA, IB, or FCM.  In addition to classes in southern California for the Series 3 exam, this firm offers NFA-style audits that will help protect your firm against weakness in internal control.
  • Donahue & Associates, LLC
    This CPA firm offers valuable “back-office” support to commodity and securities brokerage companies and to publicly-traded small and mid-sized companies. Some of the many services offered are performance table compilations for CTA’s and IA’s, Form 1FR software for introducing brokers, and anti-money laundering audits.
  • Futures Magazine – The magazine for futures and options traders.
  • Futures and Options World Magazine
  • CFTC Commitment of Traders
  • Technical Analysis of Stocks & Commodities Magazine

Regulatory:

Firms that set up Futures I/Bs and Offer Clearing Services:

  • EFG Group

SECURITIES:

Regulatory:

Background Checks:

Exchanges:

OTHER: