Financial Regulatory Exams

Global Regulators We Deal with
(USA (NFA/CFTC/FINRA)

  1. Series 3 : NCFE ( National Commodity Futures Examination)
  2. Series 7 : General Securities Representative
  3. Series 11: Assistant Representative — Order Processing
  4. Series 14: Compliance Official
  5. Series 30 : Branch Manager
  6. Series 31 : Futures Managed Funds
  7. Series 34 : Retail Off- Exchange Forex
  8. Series 79: Investment Banking Qualification Examination
  9. Series 86 : Research Analyst — Analysis
  10. Series 87 : Research Analyst — Regulatory

UK ( FCA)

  1. FCA Regulations
  2. Certificate in Derivatives
  3. Certificate in Securities
  4. Certificate in Investment Management
  5. Certificate in Commodity Derivatives
  6. Certificate in Financial Derivatives
  • Cyprus (CYSEC)
  • Australia (ASIC)
  • New Zealand (FMA)
  • South Africa (FSB)
  • Mauritius ( FSC)
  • Belize (Central America)( IFSC)
  • British Virgin Islands (BVI FSC)
  • Malta (MFSA)