Securities Exam Preparation, Inc., established in 1972

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We are a consulting organization specializing in
self-study test preparation for FINRA, NASAA, and
futures industry exams.
 

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SERIES 30 EXAM PRODUCTS

Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 30 Exam  Branch Office Manager Futures

The Series 30 exam is required for those who act as a branch office manager for a commodity futures firm registered with the NFA. Individuals whose sponsor is a registered broker-dealer may, in lieu of the Series 30 exam, provide proof that they are qualified to act as a branch office manager or designated supervisor under the rules of the New York Stock Exchange or FINRA (NASD).

Series 3 is a prerequisite $70.00 test fee (Form U-10) 1 hour time limit

 Test Topics

Approximate Test Questions
General Rules 11
Fees Charged by CTA/CPOs  2
Fees Charged by IB/FCM  1
Discretionary Accounts  5
Accounts  8
CTA/CPO General  5
CTA/CPO Discretionary Rules  5
Rule 2-30 Know your Customer  2
Rule 2-29 Advertising  5
IB General  3
Anti-Money Laundering Requirements  3

Total 50 questions

Series 30 Exam Study Text and CD

Study Text
and CD ROM
$75.00





CD is Windows Only!

 

 

 

This comb-bound booklet includes the NFA rules that are covered in the exam.

Since the Series 3 exam is a prerequisite to the Series 30, we suggest you reacquaint yourself with the rules and regulations and then sit down with our windows-style computer questions.  Going through our CD questions and explanations will prepare you for the Series 30 exam.

The Windows CD* contains over 500 practice questions.

After each question, the program will tell you whether you're right or wrong and will provide a complete rationale for the proper response! Easy and fast!!

On this single-user system you can take the quizzes up to ten times each; to maintain fresh test content, the CD expires after a certain time-period from the date of purchase. You should take the #30 exam within 120 days of buying the CD.
 


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Securities Exam Preparation, Inc., is a consulting organization specializing in self-study test preparation for for FINRA and  Series 3, Series 30, and Series 31 exams -- and in registration services for Investment Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.  Assistance is also provided for registration of ForEx (foreign exchange) merchants and IBs.

 

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Securities Exam Preparation, Inc., established in 1972, is a consulting organization specializing in
self-study test preparation for  FINRA, NASAA, and futures industry exams -- and in registration services for
Investment Advisers, Broker Dealers, Commodity Trading Advisers, and Introducing Brokers.

(800) 648-7277 (Pacific Time Zone)

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