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.
|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|
|General Account Handling and Exchange Regulations||8|
|Discretionary Account Regulation||5|
|Promotional Material (NFA Rule 2-29)||5|
|Anti Money Laundering||3|
Series 30 Branch Office Manager Futures Exam Study Materials:
Series 30 – Exam Study Book + CD of Final Exams
BOOK + DATABANK
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 DATABASE questions and explanations will prepare you for the Series 30 exam.
The Windows-only DATABASE contains over 500 practice questions.
On this Windows only 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 DATABASE.
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!!