Series 31 Securities Exam – Securities License Exam Preparation


The Series 31 Exam is required for those who wish to receive trailing commissions on commodity limited partnerships, commodity pools, or managed accounts guided by Commodity Trading Advisors. The Series 31 license is also meant for those supervising these same limited activities. Individuals who take this exam in lieu of the Series #3 cannot open individual futures trading accounts.

Prerequisite is a FINRA registration, usually the Series 7 exam | $80 test fee (Form U-4) | 1 hour time limit

Test Topics & Approximate Test Questions

Test Topics Approximate Test Questions
    Questions General Market Knowledge 12
    CTA/CPO Regulations 5
    Know Your Customer 2
    Promotional Material 2
    Regulations 9
    CTA/CPO Disclosure 8
    Upfront Fees 7
***Total Questions*** ***45***


Series 31 Futures Managed Funds Exam Study Materials

Series 31 – Exam Study Book

$50.00 Add

The Series 31 study program is 75+ pages and is  specially-designed to allow you to learn quickly and efficiently.  The program is up-to-date, comprehensive, and written in an easy-to-understand style. The text is grouped into the same sections as the exam to give you a feeling as to the weighting of the topics on the test.

The text includes end-of-section quizzes and practice final exams.All questions have complete explanations.

Study Book for Series 31

Study Book for Series 31

Series 31 – CD DATABANK of Final Exams

$50.00 Add

The Series 31 Windows only CD DATABANK* contains 90+ chapter questions and two final exams with expanded explanations.  A great supplement to this or any study program!

On this single-user system you can take the quizzes up to ten times each.  To maintain fresh test content, the DATABANK expires after a certain time-period from the date of purchase — you should take the #31 exam within 120 days of buying the study program.

DATABANK for Series 31

DATABANK for Series 31

Series 31 – Exam Study Book + CD DATABANK of Final Exams

$95.00 Add

Exam Study Book

The Series 31 75+ page, specially-designed study program is designed to allow you to learn quickly and efficiently.  The program is up-to-date, comprehensive, and written in an easy-to-understand style. The text is grouped into the same sections as the exam to give you a feeling as to the weighting of the topics on the test.

The text includes end-of-section quizzes and practice final exams.  All questions have complete explanations.

Series 31 – CD DATABANK of Final Exams

The Series 31 DATABANK* contains 90+ chapter questions and two final exams with expanded explanations.  A great supplement to this or any study program!

DATABANK and Study Book for Series 31

DATABANK and Study Book for Series 31

On this Windows-only CD single-user system you can take the quizzes up to ten times each; to maintain fresh test content, the DATABANK expires after a certain time-period from the date of purchase — you should take the #31 exam within 120 days of buying the study program.

NOTE: All FINRA exam are continually being updated. You should take your exam within 120 days of ordering your study materials!
NOTE: Under the terms of our End User Licensing Agreement (“EULA”) each DATABANK Practice Exams product can be used only by one person. Once your order is processed by our staff you will be emailed access instructions to the DATABANK.