Series 30 Exam Training
Pass The Series 30 with our online course or using our study course!
This is the full futures branch manager's training course from AIT - American Investment Training.
20 hours study time recommended. Final Exams. 11 Sections. Over 20 yrs produced and full support to all students!
Online Course with hundreds of quality practice tests
Over 100 pages with chapter exams after each section.
Over 150 chapter and final exam questions with detailed answers
NO SPONSORSHIP REQUIRED!
General Market Knowledge
General Market Regulations - Books, Financial records, preparation and retention. Also Registration requirements on who needs to be registered, theirsponsor verification, NFA Bylaw 1101, termination
CPO and CTA Regulations - Registration requirements, Books and records to be maintained and Reports to customers
CPO and CTA Disclosure Documents - How long a period a CPO or CTA can use a disclosure document and NFA reviews of documents before each use
Disclosure by CPOs and CTAs Required for Upfront Fees - Effect of upfront fees and organizational expenses on net performance
Disclosure by FCMs and IBs Required for Costs Associated with Futures Transactions (Rule 2-4) - Full Explanation of fees and charges to customers
IB General Rules - Accepting funds from brokerage customers, Minimum net capital broker requirements and Books and records to be maintained
General Account Handling and Exchange Regulations - Risk Disclosure Statement, margin accounts and types of orders, along with Positions limits and reporting requirements
Discretionary Account Regulation (Rule 2-8) - Rules and Requirements relating to discretionary accounts including Supervision and review of discretionary accounts
Promotional Material (Rule 2-29) - Use of a third-party consulting or advertising firm Written procedures and supervisor reviews for all promotional material
Anti-Money Laundering Requirements - Developing firm policies, procedures and internal controls relating to Anti money laundering (AML) and Detecting/reporting suspicious activity that could be a signal for Money Laundering
Choose a Method Below To Begin:
SERIES 30 STUDY COURSE BOOK - Complete Text Course with discussion topics, chapter exams and Practice Final Exams.
SERIES 30 ONLINE COURSE - Fully Interactive with Exam Progress. Accurate Practice Exams and Format.
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