American Investment Training

Series 30 Licensing Exam Training

Futures Branch Office Manager Course

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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!

SERIES 30 ONLINE COURSE

Topics Include:

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.

OR

SERIES 30 ONLINE COURSE - Fully Interactive with Exam Progress. Accurate Practice Exams and Format.

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