- To locate a test center or schedule your exam you should contact a Prometric test center. Note that to make an appointment for an exam you must have completed your Form U-4 or Form U-10 application form and have received a registration number from FINRA.
- Need a test application Form U-10? Click here
Consulting Firms – Educational:
- 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.
- Futures Magazine – The magazine for futures and options traders.
- Futures and Options World Magazine
- CFTC Commitment of Traders
- Technical Analysis of Stocks & Commodities Magazine
Firms that set up Futures I/Bs and Offer Clearing Services:
- TDA Compliance – (925) 778-2390 or [email protected]. TDA Compliance is a consulting firm that helps set up federal and state level Investment Advisors and can provide back-office training and support. They are very knowledgeable in investment advisor registration, regulatory requirements, and advisory agreements.
- Turn Key Hedge Funds – (954) 345-6442 Turn Key Hedge Funds is a consulting firm that provides CTA, Hedge Fund, and Broker-Dealer registration services.
- 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) The CIMA certification program is the only credential designed specifically for financial professionals who want to attain a level of competency as an advanced investment consultant.
- 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
- 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