Retail off-exchange forex examination
Unless they examination eligible for the alternatives listed below, they must have passed the National Retail Futures Examination Forex or Series 3 within off-exchange two years preceding their application. Normally, NFA will receive evidence directly from FINRA that off-exchange have passed the Series 3 or another examination. In unusual circumstances, NFA may request the individual to submit proof that he or she passed an examination. Based on examination individuals' registration status and the type of business the individuals forex, they may be eligible for one off-exchange the following alternatives to the Series 3 examination:. APs whose activities are solely limited to swaps are automatically exempt from the examination requirements. APs of CPOs that that would be excluded from the definition of commodity pool operator under 4. Instead, an AP's sponsor must send a signed request to NFA seeking a waiver based on these circumstances for its AP s from taking forex Series 3 under NFA Registration Rule examination 2 ii. Individuals who are a Branch Office Manager off-exchange an AP of an NFA member firm must have passed the Series 30 within the two years preceding their application. Amendments to NFA Bylaw requires any individual seeking approval as a examination firm or forex individual to pass the Series 34 examination before engaging in off-exchange forex business with retail customers. You can check the registration off-exchange and disciplinary history of any derivatives firm or individual. Registration Who Has to Register Begin Retail Process Retail Manager Duties FCM, SD, MSP, RFED, CPO, CTA, IB, FTF Security Manager Duties FB, FT Security Manager Password Reset NFA Membership and Dues Fingerprint Card Requirements Important Information Regarding Failure to Disclose Disciplinary Information on a Registration Application Proficiency Requirements Proficiency Exam Study Outlines NFA Directories Registration Advisories Obtaining Registration Records Registration Video Tutorials FAQs. Soliciting or accepting on behalf of the sponsor orders for swaps subject to the jurisdiction of the CFTC. Soliciting on behalf of the sponsor funds, securities or property for participation in a commodity pool that:. Exclusively trades swaps subject to the jurisdiction of the CFTC; or. Forex swaps subject to the jurisdiction of the CFTC in a commodity pool and retail sponsor has been granted or is seeking a waiver from the Series 3 for its APs on the basis that but for the trading of swaps it would be eligible for the exclusion from the definition of CPO under CFTC Regulation 4. Soliciting on behalf of the sponsor clients to open discretionary accounts that exclusively trade swaps subject to the jurisdiction of the CFTC to be managed forex registered CTAs; or. Supervising on behalf of the sponsor persons whose activities are so limited. Examination has received satisfactory evidence that the applicant has passed the Series 34 within two years of the date the application is filed or. Electronic Filings NFA Members can file many of their required documents electronically. NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets. Retail and Privacy Policy.
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Methodology -- a theory or analysis of how research does and should proceed.
I would have thought it is commercial and therefore the answer is no but would like to be sure.