Resources

ADMINISTRATIVE:

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.
- Prometric
Need a test application Form U-10? Click here

FUTURES:
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

Regulatory:

Firms that set up Futures I/Bs and Offer Clearing Services:

SECURITIES:

TDA Compliance – (925) 778-2390 or info@tdacompliance.com. 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.
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.

Regulatory:

BACKGROUND CHECKS:

EXCHANGES:

The Complete List of Courses that SEP Offers