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LINKS

ADMINISTRATIVE:

• Locate a Test Center
  "Make a Test Reservation”
  To make an appointment for an exam, you may call either Thompson-Prometric at (800) 578-6273 or Pearson VUE at (866) 396-6273 after your U-10 test form has been submitted.
• Prometric
• Pearson VUE

• Need a test application form U-10? Click here. 

FUTURES:

Consulting Firms - Educational:

• Investment Reference, Inc.
  This is one of the strongest firms available to help you set up your CTA, IB, or FCM. 
• 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.
• Tradesignals.com
• Futures Magazine - The magazine for futures and options traders.
• Futures and Options World Magazine
• CFTC Commitment of Traders
• Technical Analysis of Stocks & Commodities Magazine

Regulatory:

• National Futures Association ("NFA")
• Commodity Futures Trading Commission ("CFTC")

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

• EFG Group

SECURITIES:

• TDA Compliance - (925) 778-2390 - or Email TDA Compliance
  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.
  
• Broker Dealer Market
  Broker Dealer Market is a nationally recognized leader in mergers and acquisitions for small and medium sized Broker/Dealers.
• 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.

Regulatory:

• 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

Background Checks:

• Investment Advisor
• FINRA Broker Check
• NFA Broker Check

Exchanges:

• 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
• The London International Financial Futures and Options Exchange (LIFFE)
  

OTHER:

• Trading Educators - Trading Educators offer seminars and books by Joe Ross
• Alaska Summer Vacation - just a fun site to visit!
  

LINK TO US:

• Securities Exam Preparation, Inc. provides content that may be useful to your visitors then please show your support by placing a link to us on your website.
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The Complete List of Courses that SEP Offers:

Registered Representative Level

Registered Principal Level

Other Exam Courses SEP Offers