Series 34 Exam | Retail Off-Exchange Forex Examination
The Series 34 exam is required for those individuals who work with retail customers in off-exchange forex business. The registrants, or "APs" (associated persons), will be referred to as "forex individuals" or "forex APs".
The NFA has submitted a proposal to the CFTC that individuals who were registered with the NFA as associated persons or floor brokers, or approved as sole proprietor principals on May 22, 2008 be exempted from the #34 exam.
Any new registrant will be required to sit for the Series 3 exam and the Series 34 exam to complete registration.
Co-requisite is the Series 3 exam. $70.00 test fee. (Form U-10) 60 minute time limit.
Test Topics
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Approximate Test Questions |
| Definitions and Terminology |
10 |
| Forex Trading Calculations |
8 |
| Risks Associated with Forex Trading |
4 |
Forex Market - Concepts, Theories, Economic
Factors and Indicators, Participants |
10 |
Forex Regulatory Requirements
|
8 |
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Total 40 questions |
Series 34 ForEx Course Online |
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Securities Exam Preparation, Inc. has partnered with the Center for Futures Education, Inc. to offer an online Series 34 study program with the benefit of no shipping costs and fast delivery.
The Online Series # 34 program has 5 sections that match 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.
- Course access is good for 60 days - so make sure you plan your study in relation to when you want to take the actual exam!
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Web-based Ethics Training Program |
Web-based
Ethics Training
Program
$50.00
Windows Only! |
The CFTC has amended it's rule regarding ethics training for NFA registrants to allow for flexibility in the format, frequency and providers of ethics training, and permits each firm to tailor its training program to better suit its own operations. This has shifted the responsibility to each firm to adopt and implement appropriate ethics training. Here's a link to the NFA for specifics: Ethics Training Requirements
If you are joining a firm, your compliance officer probably has a program established and you will train under that program.
If you are forming your own CTA, CPO or IB, however, our 4 hour program that discusses ethical behavior in relation to rules and regulations may suit your needs.
Here's how the program works:
- After your order has been processed, you’ll receive an email for us directing you to
the Initial Ethics Program. Within the program (a PDF file) you have the full set of instructions.
- You read the ethics program and sign a "Sworn Declaration" that you have completed the course.
- PDF (or scan a copy into a file) and send the Sworn Declaration back to us using this email address.
You will be sent a Certificate of Completion that you keep for your records.
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