Skip to content

Series 34 Exam
Study Guide

The Series 34 Exam Study Guide is brought to you for free by Mallon P.C. The Series 34 exam is a new National Futures Association (NFA) exam that will be required for off-exchange retail foreign exchange (Forex) dealers, counterparties, and intermediaries who will soon be required to register with NFA. To determine if you need to take the exam or for more information on the Forex registration process, please visit www.forexregistration.com. If you have any questions or are interested in supplemental preparation material, please contact us at 415-320-6255. Below, you will find the study guide material divided into five sections. These sections represent the five categories you will be tested on. Below each category, click on any link to view its definition.
Series 34 Exam ยป Forex Regulatory Requirements

Category Archives: Forex Regulatory Requirements

CFTC Jurisdiction and Jurisdictional limitations

Conflicts of Interest

Disclosures to Customers

Jurisdictional & Regulatory Framework

Know Your Customer

NFA Interpretive Notice Compliance Rule 2-36(e): Supervision of the use of Electronic Trading Systems

NFA Interpretive Notice Regarding Forex Transactions

NFA Membership & Associate Membership Requirements

NFA Notice to Members: Supervision of Forex Promotional Materials

Promotional Material & Solicitation

Registration Requirements

Reports to Customers/Confirmations/Monthly Summaries

Security Deposit Rules

Security of Customer Funds, No Segregation

  • Pages

    • About
    • Study Guide
  • Categories

    • Definitions & Terminology
    • Forex Market
    • Forex Regulatory Requirements
    • Forex Trading Calculations
    • Forex Trading Risks
    • Uncategorized
  • Archives

    • March 2010
    • June 2009
    • May 2009
    • October 2008
  • Blogroll

    • Development Blog
    • Documentation
    • Plugins
    • Suggest Ideas
    • Support Forum
    • Themes
    • WordPress Planet
  • RSS Feeds

    • All posts
    • All comments
  • Meta

    • Log in