Series 3: 7.3.3. Reporting Requirements

Taken from our Series 3

7.3.3. Reporting Requirements

To discourage price manipulation, the CFTC requires all reporting markets, as well as FCMs and other brokers in the futures and options markets, to file daily positions reports. A reporting market is any futures or options exchange, board of trade, swap execution facility, electronic trading facility, or clearinghouse.

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.3. Reporting Requirements, you might also be interested in:

Series 24 - Member Supervisory Procedures and Controls

Series 14 - 6.1.8.2. Rule 10b-5

Series 66 - Keogh Plans (HR-10 Plans)

Series 53 - Customer Trade Confirmation

Series 66 - 3.8.3. Structured Products

Series 51 - Introduction

Series 50 - Exercise

Series 24 - Freeriding

Series 65 - Risk

Series 65 - Agent Registration

Series 53 - Third-Party Accounts

Series 66 - 3.1.2.3 Bond Funds

Series 3 - Exercise

Series 24 - Regulation U

Series 24 - Management Company Rules

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT

Great preparation for a first-time-go on my SIE exam! Used the audio book for my commutes, and the presentation was good addition to back up the book. I leveraged the exam simulator which was priceless in making me feel like I was prepared for the exam. And, once I got into the test, I was prepared enough that I wondered if the real exam was going to get more difficult at the end...? I felt confident and well-prepared. Will be ordering the top-off shortly! Thanks for a great product and outstanding support!

Jeff Hughes, Cambridge Investment Research. Fairfield, IA

Thank you so much for the easy reading! I passed the 51 on my first attempt!!

Amber Carrick, Keystone Financial Management, Bath, PA