Securities Exam Preparation, Inc., established in 1972

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We are a consulting organization specializing in
self-study test preparation for FINRA, NASAA, and
futures industry exams.

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Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 30 Exam | Branch Office Manager Futures

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 (NASD).

Series 3 is a prerequisite $80.00 test fee (Form U-10) 1 hour time limit

 Test Topics

Approximate Test Questions

General Rules 11
Fees Charged by CTA/CPOs  2
Fees Charged by IB/FCM  1
Discretionary Accounts  5
Accounts  8
CTA/CPO General  5
CTA/CPO Discretionary Rules  5
Rule 2-30 Know your Customer  2
Rule 2-29 Advertising  5
IB General  3
Anti-Money Laundering Requirements  3
Total 50 questions


Series 30 Exam Study Text and CD

30 book


Study Text
and CD ROM

CD is Windows Only!

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 CD questions and explanations will prepare you for the Series 30 exam.

The Windows CD* contains over 500 practice questions.

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!!

On this 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 CD.

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