Security Exam Training Links

Administrative

• Locate a Test Center
  "Make a Test Reservation”
  To make an appointment for an exam, you may call either Thompson-Prometric at (800) 578-6273 or Pearson VUE at (866) 396-6273 after your U-10 test form has been submitted.
  • Prometric
  • Pearson VUE
• Need a test application form U-10? Click here. 

Futures

Regulatory:
National Futures Association (NFA)
Commodity Futures Trading Commission (CFTC)
Futures-Forex-Stocks Trading Platforms

Securities

Securities Industry Association  (SIA)
Certified Financial Planner Board of Standards (CFP)
Investment Management Consultants Association (IMCA)

Regulatory:
Financial Industry Regulatory Authority (FINRA)
Municipal Securities Rule Making Board (MSRB)
Securities and Exchange Commission (SEC)
Securities and Investments Board (U.K)
Information for Funds and Advisors
State Regulators

Background Checks:

Investment Advisor
FINRA Broker Check
NFA Broker Check

Exchanges:

New York Stock Exchange (NYSE)
The American Stock Exchange (AMEX)
The FINRAAQ Stock Market
The Philadelphia Stock Exchange
Chicago Board Options Exchange (CBOE)
Chicago Board of Trade (CBT)
Chicago Mercantile Exchange (CME)
London Stock Exchange
The London International Financial Futures and Options Exchange (LIFFE)