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LINKS

ADMINISTRATIVE:

     FINRA (NASD) Domestic and International Test Sites

     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.
• Tradesignals.com
• Futures Magazine - The magazine for futures and options traders.
• Futures and Options World Magazine
• CFTC Commitment of Traders
• Technical Analysis of Stocks & Commodities Magazine

Job Hunting in Futures?

• American Fortune Group, Inc.
  Ask for Bret Diamond (305) 868-2225

Regulatory:

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

Firms that set up I/Bs for futures:

• EFG Group

SECURITIES:

• TDA Compliance - (925) 778-2390 - or Email TDA Compliance
  TDA Compliance is a consulting firm that helps set up federal and state level Investment Advisers and can provide back-office training and support. They are very knowledgeable in investment advisor registration, regulatory requirements, and advisory agreements.
   
• 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
   
• Bluechip Securities, Inc. - Muhammed Khan ( 713) 627-0009
  This Houston, TX based broker/dealer is looking for reps who are looking for more independence with their own book of clients to those well-presented newcomers to the business. You do not have to relocate to Houston.
   

• Securities Industry and Financial Markets Association
• Certified Financial Planner Board of Standards ™ ("CFP")

Regulatory:

• Financial Industry Regulatory Authority ("FINRA")
• National Association of Securities Dealers (NASD)
• Municipal Securities Rule Making Board (MSRB)
• Securities and Exchange Commission (SEC)
• Securities and Investments Board (United Kingdom)

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!