Series 30 Securities Exam – Securities License Exam Preparation

If you haven’t already, you may find our article on How to Pass My Series 30 Exam helpful.

The Series 30  Exam is required for those who act as a branch office manager for a commodity futures firm registered with the NFA.   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.

Series 3 is a prerequisite | $85 test fee (Form U-10) | 1 hour time limit

Test Topics & Approximate Test Questions

Test Topics Approximate Test Questions
    General Procedures and Rules 11
    CTA/CPO General Topics 5
    CPO/CTA Disclosure Documents 5
    Know Your Customer Rule 2
    Disclosure by CPOs and CTAs Required for Costs (Associated with Futures Transactions) 2
    Disclosure by FCMs and IBs Required for Costs (Associated with Futures Transactions) 1
    I/B General 3
    General Account Handling and Exchange Regulations 8
    Discretionary Account Regulation 5
    Promotional Material (NFA Rule 2-29) 5
    Anti Money Laundering 3
***Total Questions*** ***50***

Series 30 Branch Office Manager Futures Exam Study Materials

DATABANK and Study Book for Series 30

DATABANK and Study Book for Series 30


Series 30 Exam Study Book & CD of Final Exams

This comb-bound booklet includes the NFA rules that are covered in the exam.

Since the Series 3 exam is a prerequisite to the Series 30, we suggest you reacquaint yourself with the rules and regulations and then sit down with our windows-style computer questions.  Going through our DATABASE questions and explanations will prepare you for the Series 30 exam.

The Windows-only DATABASE contains over 500 practice questions.

On this Windows only single-user system you can take the quizzes up to ten times each; to maintain fresh test content, the CD expires after a certain time-period from the date of purchase. You should take the #30 exam within 120 days of buying the DATABASE.

After each question, the program will tell you whether you’re right or wrong and will provide a complete rationale for the proper response! Easy and fast!!

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.