Series 3: 7.6.3.1. CFTC Investigations And Prosecutions

Taken from our Series 3 Online Guide

7.6.3.1. CFTC Investigations and Prosecutions

The CFTC’s Division of Enforcement has authority to investigate and prosecute alleged violations of the Commodity Exchange Act and CFTC regulations by its registered members. It bases investigations on information it develops independently, as well as information provided by other CFTC divisions; self-regulatory organizations; state, federal, and international authorities; and members of the public.

At the conclusion of an investigation, the Division

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.6.3.1. CFTC Investigations And Prosecutions, you might also be interested in:

Series 7 - Chapter 8 Practice Questions

Series 65 - 3.1. Mutual Funds

Series 82 - 1.2.1.2.2. Cooling-Off Period Communications Not Deemed a Prospectus

Series 24 - 4.3. Corporate Acquisitions

Series 66 - 8.1.2.3.2.1. Special Subscription Form

SIE - 5.3.8.1. Mutual Fund Distributions

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 truly wish I had tried Solomon Exam Prep earlier! Started studying for the Series 65 exam with a different company and missed passing the test by 4 questions. I was pretty disappointed because my study materials, especially the quiz generator, weren't a great reflection of what the test would actually be like. But Solomon's Exam Simulator was the KEY to passing my second go-around! Questions were very similar to the actual exam and I managed to boost my score by 10% from the first time, only using the Solomon materials for less than a week! HIGHLY recommend this to anyone in need of 65 materials!

Hannah Cash, Denali Wealth Management, Indianapolis, IN

I used your materials for the Series 79, Series 82, and the Series 63 and scored all in the mid-80% range. Thanks for your help and support!

Carlie Headapohl San Diego, CA

I passed the Series 7 on my first attempt after using the Solomon study book and practice tests. The practice tests were crucial in understanding how the official exam would ask questions and greatly benefited me.

Jeff D, Securities America, La Vista, NE