Series 3: 7.3.2.3. Restricted Use Of Customer Funds

Taken from our Series 3

7.3.2.3. Restricted Use of Customer Funds

An FCM may not use the funds of one futures customer to purchase, provide margin for, or settle the trades of any person other than that customer. Nor may the

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.2.3. Restricted Use Of Customer Funds, you might also be interested in:

SIE - Unit Investment Trusts (UITs)

Series 52 - Introduction

Series 6 - 6.3.7. Taxation of Life Insurance Products

Series 51 - Chapter 3 Practice Questions

Series 22 - 1.1. DPP Investment Entities

Series 6 - 4.2.6. Interest Rates and Bond Prices

Series 66 - Free-Look Period

SIE - 10.2.4.1. Non-Cash Compensation

Series 52 - 8.4.2.2.5. Time of Trade

Series 24 - 2.6. SEC Sanctions Against Broker-Dealers

Series 26 - Changes of Ownership or Control and Material Changes in Business Operation

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 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

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

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

Thanks to the Solomon 79 exam class and online simulator I passed the 79! Your materials beat the competitors hands-down.

Shawn Leventhal, New York, NY

Previously I used another prep company for the Series 63 and did not pass. Second time around I used Solomon and passed! What's more, I felt much more confident from taking the practice exams and working towards a higher and higher probability rate of passing. Thank you Solomon! I'll definitely use you again with any future security exams.

Max Thomas, Finalis / Evalla Advisors LLC. Los Angeles, CA

I just passed the series 24! It is, by far, the hardest test that I have ever taken. I had failed it 4 times using other study materials. I have never felt more defeated! Solomon Exam Prep is the best! I took over 154 practice tests...without seeing the same question twice. I was able to finally grasp the material and passed! My only regret is that I did not use the Solomon Exam Prep on my first attempt!

Bill Harpe, Capital Choice. Greensboro, GA