Branch Office Manager Futures
The Series 30 exam is required for those who act as a branch office manager for
an NFA commodity futures firm. 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).
$60.00 test fee (Form U-10) 1 hour time limit
A prerequisite exam for the Series 30 exam is having passed the
Series 3
exam.
Series 30 Test Topics
|
Approximate Test
Questions
|
|
General Procedures & Rules |
11 |
|
CTA/CPO General Topics |
5 |
|
CTA/CPO Disclosure Documents |
5 |
|
Know Your Customer Rule |
2 |
|
Disclosure of Costs CTA/CPO |
2 |
|
Disclosure of Costs FCM/IB |
1 |
|
I/B General |
3 |
|
Account Handling & Exchange Rules |
8 |
|
Discretionary Account Regulation |
5 |
Promotional Material (NFA Rule 2-29)
|
5 |
|
Anti Money Laundering |
3 |
|
|
Total 50
questions |
The National Futures Association (NFA) and the various
domestic commodity futures exchanges require the Series 30 exam for anyone
who is going to act as a Branch Manager of a Commodity Trading Adviser,
Commodity Pool Operator, Introducing Broker, or Futures Commission Merchant.
Securities Exam Preparation, Inc. is a consulting
organization specializing in self-study programs for FINRA(NASD) test preparation
-- and in coordinating registration services for Investment Advisors, Broker
Dealers, Commodity Trading Advisers, and Introducing Brokers.
People who have
ordered this product have also ordered the
Series 3.
|
