Series 3: 7.6.2.2. Pre-Dispute Arbitration Agreements

Taken from our Series 3

7.6.2.2. Pre-Dispute Arbitration Agreements

A CFTC-registered firm may not enter into an agreement with a customer where the customer agrees, before a grievance arises, to submit to a specific settlement procedure, unless the agreement:

• Does not require the customer’s signature as a condition for using the firm’s services
• Does not require the customer to w

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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)

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