Series 6, Series 63 Question

Discussion in 'Professional Trading' started by tyler19, Mar 27, 2007.

  1. tyler19


    For my new job they would like me to get the 6, and 63.
    Does anyone know if I am still allowed to trade my own account if I am dealing with clients also.
  2. tyler19


    I will actually be trading futures.
    Will I have to show them statements or something like that?
  3. Again, you have to ask your employer whether you can continue trading, regardless of the instrument.

    The company you work for will most likely ask for a recent statement from your broker. They will then contact the broker and add themselves to the account as an "interested party." The futures (or whatever) broker will begin sending your employer duplicate statements from that point on.

    Futures are not covered by the NASD. However, options on futures or anything else are so covered. Your trading account undoubtedly offers options trading and therefore must be disclosed.

    Also, trading is a full time job, which your employer will likely view as a distraction. Obviously, they would prefer that you spend all of your energies on the job at hand, rather than splitting them between two jobs.

    Again, and I cannot emphasize this enough, ASK YOUR EMPLOYER.
  4. tyler19


    Alright cool, thanks for the help.