Series 3: 7.6.3. CFTC Disciplinary And Dispute Resolution Procedures

Taken from our Series 3

7.6.3. CFTC Disciplinary and Dispute Resolution Procedures

The Commodity Exchange Act gives the CFTC broad authority to investigate and enforce its regulations. The CFTC also may preside over customer complaints that allege a violation of CFTC regulations. The CFTC investigates industry violations through its Division of Enforcement. It handles customer disputes through its Office of Proceedings.

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.6.3. CFTC Disciplinary And Dispute Resolution Procedures, you might also be interested in:

Series 51 - Chapter 3 Practice Question Answer

Series 79 - 12.1.4. Assessing the Competition

Series 66 - 9.1.6.2. Code of Ethics and Access Persons

Series 63 - 2.3 Agents of Broker-Dealers and Agents of Issuers

Series 3 - Exercise

Series 24 - Two-dollar Brokers

Series 7 - Exercise

Series 79 - Disclosure of Control or Interest in a Distribution

Series 82 - 1.2.1.2.7. Research Reports of Broker-Dealers Participating in an Issuer’s Distribution

Series 53 - Units of Delivery

Series 65 - 3.8.7. Taxation of Life Insurance Products

Series 53 - Book-entry Bonds

Series 63 - Registration by Filing

Series 24 - Nasdaq Market Center Execution

Series 63 - Practical Application

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

Passed the 24 today ... fun test.. You have a great product. The material was easy to follow and the practice tests were very, very helpful. Thank you.

Danny Klingler, Kestra Financial, Austin, Texas

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time.

Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email from author/owner Jeremy Solomon and he actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam.

Thank you Solomon Exam Prep!!!!!

Carol Gallagher, TIAA, Syracuse, New York

I passed my Series 99 exam in a very short period of time and this wouldn’t be possible without the incredible material from Solomon Exam Prep. The preparation material is very comprehensive and always updated with recent changes in FINRA rules/industry practice. I scored 92%!!

Venu Rathi, The Carlyle Group, New York, NY