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Series 34 Exam
Retail Off-Exchange Forex Examination
By Bart Mallon, Esq.www.series34exam.com
 
Overview
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Background – Forex Registration
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Series 34 Basics
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Sections and Weighting
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Major Exam Topics
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Recommended Study Techniques
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My Thoughts on the Exam
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Questions
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Disclaimer
Page 1 of 9
© www.series34exam.com
 
Background - Forex Registration
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Commodities Exchange Act
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Regulation of commodities and futures trading
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No previous regulation of Forex activities (except limited anti-fraud authority)
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Farm Bill
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Passed by Congress on May 22, 2008
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Major items with regard to off-exchange forex
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Codifies CFTC’s anti-fraud authority
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Requires registration for Forex CTAs, CPOs, IBs
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Minimum capital requirements for FCMs and FDMs
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New Forex Regulations
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 To be proposed by CFTC
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Subject to comment period
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