Series 3: 7.1.4.3. Exemption From Registration Of Non-Domestic Firms

Taken from our Series 3 Online Guide

7.1.4.3. Exemption from Registration of Non-Domestic Firms

Futures commission merchants, introducing brokers, commodity pool operators, and commodity trading advisors operating outside the borders of the United States may be exempt from NFA registration if they file both of the following

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.1.4.3. Exemption From Registration Of Non-Domestic Firms, you might also be interested in:

Series 28 - Customer Disclosure Requirements

Series 24 - 5.9.3.1. Reporting System for Listed Securities Traded Over the Counter

Series 53 - Purpose of SIPC

Series 6 - 8.1.2. Margin Accounts

Series 82 - Private Placement Liabilities

Series 66 - 1035 Exchanges for Variable Life Insurance Contracts

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 my SIE. I was using Kaplan and it was not working out as well. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

I sat for the Series 99 and passed on my first attempt! I am thankful for the Solomon Exam preparation. The four-week study schedule was a life saver. I recommend using the Solomon products to prepare for any Series exam.

Cachet Johnson, PNC, Cleveland, OH

I passed the 79 and 63 - both on the first attempt - thanks to Solomon Exam Prep. The quiz/simulator questions were very similar to the actual exam. Additionally, I was impressed by how quickly I received responses when I used the "Ask the Professor" feature.

Alexander W, IL