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Series 3 Exam Basic Set
Self-study set includes two textbooks each containing practice questions and explanatory answers to test your understanding and retention of the concepts and content. Compare this set to the standard set for a blended learning experience.
CONTINUE READINGSeries 3 PassMaster
Series 3 PassMaster is a 2-part exam prep software. The Tutorial is a "flash card" section that uses Q&A to tests your knowledge by topic area and level of difficulty. After responding to a question, you receive instant feedback with an explanatory answer and rationale. The Exam Simulator section offers unlimited number of timed tests. It mimics the format of the Series 3 Exam with results scored like the actual test.
CONTINUE READINGFutures and Options
A "must read" for prospective and new participants in the derivatives industry as well as market regulators and other stakeholders who must build market knowledge.
CONTINUE READINGGuide to U.S. Futures Regulation
A practical application of U.S. derivatives regulations that serves as desk reference and a study manual for the regulation portion for the Series 3 exam, and the Series 32 exam for current professionals of the UK & Canada who must meet U.S. proficiency requirements.
CONTINUE READINGIntroduction to Derivatives
A basic guide for knowledge seekers wishing to understand the markets, players, products and regulatory structure. The guide includes a glossary of definitions and industry jargon.
CONTINUE READINGTrade associations urge EC to delay EMIR 3.0 reporting for third-country CCPs
FIA, along with nine other trade associations, seek delay to EMIR 3.0 7(d) reporting until the corresponding regulatory technical standards and implementing technical standards are applicable.
CONTINUE READINGProtection of customer funds - frequently asked questions
This document, first issued in February 2012, has been prepared by members of the FIA Law and Compliance Division and contains questions and answers addressing the basics of (i) segregation, collateral management and investments, (ii) minimum financial and other requirements for futures commission merchants and joint FCM/broker-dealers, and (iii) derivatives clearing organization guarantee funds.
CONTINUE READINGClearing 101: Safeguards for the Futures Market
Whether you're a futures industry professional, commercial hedger, fund manager or professional trader, it is important to understand the critical role that clearing plays in reducing the risk of counterparty default, guaranteeing the financial performance of all contracts and safeguarding customer funds. Instructor, John P. Davidson whose leadership roles at both futures and equities clearinghouses and global intermediaries make him uniquely qualified to teach this course.
CONTINUE READINGInitial Ethics Training
Initial ethics training is specifically designed for those who are new to the industry and recently registered with National Futures Association (NFA) and helps firms meet training requirements as mandated by the Commodity Exchange Act and NFA Rule 2-9. We recommended the online training be completed within the first six-months of hire.
CONTINUE READINGUnderstanding & Avoiding Spoofing Behavior
Preventing manipulation of derivatives markets, and spoofing behavior, in particular, is a priority for both the exchanges and regulatory authorities that supervise financial markets. This course draws on recent cases to cover the basics of spoofing and how regulators are targeting illegal trading behavior.
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