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What are the proficiency requirements for security futures salespeople and supervisors?

April 26, 2017Futures proficiency requirements salespeople security supervisors

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What are the proficiency requirements for security futures salespeople and supervisors?

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Unlike brokerage firms, salespeople and supervisors do not have to be dually registered, but they must complete a training program covering security futures. The proficiency requirements apply to all sole proprietors and APs, including CPOs and CTAs and joint Series 3/Series 7 registrants.