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Series 3 License
- Futures and Commodities
Series 30 - Branch
Manager
Series 31 - Futures Managed Funds
The National Futures Association (NFA) requires an individual to successfully complete the Series 3
qualification in order to sell commodities or futures contracts. The exam is administered by the National Association of Securities Dealers
(NASD).
Home
Study Courses Books
Resources
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Complete
Home Study Courses
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| Series
3 National Commodity Futures Examination |
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Series 3 Book and Disk Course
Topics
Covered
- Futures Trading Theory
- Basic Functions Terminology
- Futures Margins, Option Premiums, Price Limits, Futures Settlements, Delivery, Exercise, and
Assignment
- Types of Orders, Customer Accounts, Price Analysis
- Basic Hedging, Basic Calculations, Hedging Futures
- Spreading
- Speculating in Futures
- Option Hedging, Speculating, Spreading, Analysis
- Customer Accounts and Orders
- Regulations, CFTC/NFA Rules
Book and Disk available
separately More
Information...
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| Series
30 Branch Manager Exam - Futures |
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Series 30 Course Book
- Over 100 pages with chapter exams after
each section.
- Over 150 chapter and final exam
questions with detailed answers
Topics Covered
- Exchange Rules and Regulations
- CPO and CTA Rules and Regulations
- Advertising and Disclosure
- Customer Accounts
- Discretionary Rules
- Management Responsibility
More
Information...
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| Series
31 Futures Managed Funds Exam |
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Series 31 Course Book
- 75 pages with chapter exams after each
section.
- Chapter and final exam questions with
detailed answers
Topics Covered
- General Market Knowledge
- General Regulation
- CPO and CTA Rules and Regulations
- CPO and CTA Disclosure Documents
- Know Your Customer Rule
- Disclosure by CTOs and CTAs required for
Upfront Fees
- Promotional Material
More
Information...
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Books
of Interest
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Additional
Futures Industry Resources
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National Futures Association
(NFA) - "NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the
derivatives markets." Information regarding the process of registering as a futures professional is available by contacting the
NFA at 1-800-676-4NFA or by visiting the NFA web site.
Study
Outline for the Futures Industry Examinations - This outline is
provided by the National Futures Association and contains an in-depth breakdown of the topics
contained. Individual sections can also be downloaded:
Series
3
Series
30
Series
31
Series
32
Series
33
(Adobe
Reader required.)
Commodity Futures Trading Commission
(CFTC) - "The mission of the Commodity Futures Trading Commission (CFTC) is to protect market users and the public from fraud,
manipulation, and abusive practices related to the sale of commodity and financial futures and options, and to foster open,
competitive, and financially sound futures and option markets."
A
Guide to the Language of the Futures Industry - from the Commodity Futures Trading Commission
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