LINKS

ADMINISTRATIVE

• Locate a Test Center
  "Make a Test Reservation”
  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.
  
  
  • Prometric
• Pearson VUE
  
  
• Need a test application form U-10? Click here. 

SECURITIES:

• Broker Dealer Market
  Broker Dealer Market is a nationally recognized leader in mergers and acquisitions for small and medium sized Broker/Dealers.
• JW Cole Financial - Mike Van Horenbeck (813) 549-6256
  For those who are interested in careers as a registered rep in the Tampa, FL area
• Securities Industry and Financial Markets Association Certified Financial Planner Board of Standards™("CFP")
• Investment Management Consultants Association (IMCA)

REGULATORY:

• Financial Industry Regulatory Authority ("FINRA")
• Municipal Securities Rule Making Board (MSRB)
• Securities and Exchange Commission (SEC)
• Securities and Investments Board (United Kingdom)
• Information for Funds and Advisors
• State Regulators

BACKGROUND CHECKS:

• Investment Advisor
• FINRA Broker Check
• NFA Broker Check

FUTURES:

Consulting Firms:

• Investment Reference, Inc.
  This company will help you set up your CTA, IB, or FCM.  In addition to classes in southern California for the Series 3 exam, this Investment Reference 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.
• 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:

• National Futures Association ("NFA")
• Commodity Futures Trading Commission ("CFTC")
  

Firms that set up I/Bs for futures:

• EFG Group

EXCHANGES:

• New York Stock Exchange (NYSE)
• The American Stock Exchange (AMEX)
• The NASDAQ Stock Market
• The Philadelphia Stock Exchange
• Chicago Board Options Exchange (CBOE)
• Chicago Board of Trade (CBT)
• Chicago Mercantile Exchange (CME)
• London Stock Exchange
• The London International Financial Futures and Options Exchange (LIFFE)
  
  

OTHER:

• Alaska Summer Vacation - just a fun site to visit!