Series 3: 7.3.7.4. Profit Sharing

Taken from our Series 3 Online Guide

7.3.7.4. Profit Sharing

No member firm or associated person may share in the profits or losses accruing from commodity futures trading in any customer account without the customer’s prior written authorization, whether the account is carried by the member firm itself or by any other member firm.

NFA Rule 2-3

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.7.4. Profit Sharing, you might also be interested in:

SIE - Suitability

Series 66 - Tax-Qualified Variable Annuities

Series 52 - 3.6.1. ARS Reporting Requirements

Series 14 - 9.3.7.2. Joint Due Diligence

Series 51 - Registration Rules

Series 26 - Non-Tax-Qualified Plans

Series 24 - Publication of Transactions and Quotations

Series 65 - 2.11.1 Treasury Bills

Series 3 - Exercise

Series 82 - 2.1.4.8. Review of Transactions and Correspondence

Series 66 - Post-Registration Requirements

Series 24 - Margin Accounts

Series 65 - Chapter 7 Practice Questions

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

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

Solomon is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

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

I passed the SIE on my first attempt thanks to Solomon Exam Prep's structure and chapter guides consolidating a large amount of information into easy to learn material. I did not study finance in College and have been in Compliance for the better part of my career. This has been a validating experience thanks to Solomon Exam Prep.

Marlon Gonzalez-Perez, Tradition. New York, NY