Series 3: 7.3.3. Reporting Requirements

Taken from our Series 3

7.3.3. Reporting Requirements

To discourage price manipulation, the CFTC requires all reporting markets, as well as FCMs and other brokers in the futures and options markets, to file daily positions reports. A reporting market is any futures or options exchange, board of trade, swap execution facility, electronic trading facility, or clearinghouse.

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.3. Reporting Requirements, you might also be interested in:

Series 14 - 6.1.8.4. Breach of Duty of Trust or Confidence: Rule 10b5-2

Series 6 - 6.3.3.5. Sales Charge

Series 24 - 4.2.6. Regulation M and Market Manipulation

Series 65 - 2.6.4 Bond Certificates

Series 3 - 4.3.2.2. Long Calls

Series 14 - 4.3.2.3.1. Buying Power

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

I passed the Series 7 with an 86 percent! Solomon's exam prep material is the best. I highly recommend the online study guide and exam simulator.

Kim, Las Vegas, Nevada

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA

Thank you...thank you. I took my Series 7 yesterday and passed....1st try. Read the whole book 3 times. My system was to go through and answer the questions I was positive about. Good guess at the others and park them for review. The hardest part is trying to understand what they are actually asking. This way I wasn’t bogged down and stressed being stuck on a question. Second time around go through all those parked questions...digging deeper...checking my calculations etc. again parking the ones that totally stumped me. Third time around....educated guesses and what seemed to make sense. Also, on my way there, I was picturing myself in the room....sitting at the computer (yes, I took a dry run to see the inside). It took that part of the unknown out of the equation. Be prepared for the masks and Covid precautions. Any options questions, as tricky as they make them, I would look at my charts and was able to make sense of what they were asking. Finished the test in record time. Being prepared gave me the confidence to get through it. Many thanks Lorraine

Lorraine Harrod, PNC, Lewes, DE