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.
Series 3 is a prerequisite | $85 test fee (Form U-10) | 50 minute time limit
Test Topics
Approximate Test Questions
General Procedures and Rules
11
CTA/CPO General Topics
5
CPO/CTA Disclosure Documents
5
Know Your Customer Rule
2
Disclosure by CPOs and CTAs Required for Costs (Associated with Futures Transactions)
2
Disclosure by FCMs and IBs Required for Costs (Associated with Futures Transactions)
1
I/B General
3
General Account Handling and Exchange Regulations
8
Discretionary Account Regulation
5
Promotional Material (NFA Rule 2-29)
5
Anti Money Laundering
3
***Total Questions***
***50***
Series 30 Exam Prep Online Program
Securities Exam Preparation, Inc. has partnered with the Center for Futures Education, Inc. to offer an online Series 30 study program.
The Online Series # 30 program has 10 sections that cover the National Futures Association’s study outline:
The end-of-section quizzes are followed by the correct answers and an explanation. You can access each quiz a total of 5 times and then the quiz expires.
2 Final Exams are included! After completing a final exam, a list of the questions you missed is presented with your final score. You may choose questions from the list to see the original question, your answer, the correct answer, and an explanation – This lets you focus on the areas that are presenting difficulty — Final Exams have 10 accesses combined for the two final exams.
No Books – No Shipping! Nice! Study wherever you have internet access. Mac or Windows.
Course access is good for 60 days from the time you create a user name and password – so make sure you plan your study in relation to when you want to take the actual exam!
