Series 31 exam-day guide
Series 31 · Prepare for the day ahead.
Your checklist
Government-issued photo ID
Bring a current, unexpired government-issued photo ID with your signature. The name must match the name on your exam registration. If your ID has expired or the names differ, resolve it with the test provider before test day - do not assume a second document will be accepted.
Appointment confirmation / authorization to test
Have your confirmation number, appointment time, and test center location (or remote-proctoring link) saved offline as well as on your phone. NFA-sponsored exams require the provider to have your eligibility on file before you are seated; verify your authorization is active at least a few days ahead.
Confirm testing method (test center vs. online proctored)
Confirm with the provider whether your appointment is in person or remote-proctored, and read the specific equipment and room requirements for the remote option (camera, microphone, closed room, clear desk). Requirements differ by delivery method, so check the provider's current candidate handbook.
Know the format and passing standard
The Series 31 is a multiple-choice exam covering NFA/CFTC rules and ethics for those who solicit or manage customer funds in futures. Confirm the current question count, time limit, and passing score with NFA or the test provider before test day, since these are set by the sponsor and can change.
Leave the calculator at home unless the provider says otherwise
Most sponsor-administered securities/futures exams supply an on-screen or center-issued calculator and prohibit personal calculators, watches with memory, and phones. Do not bring your own calculator, notes, or study materials into the testing room unless the provider confirms they are permitted.
Plan travel and arrival buffer
Arrive well before your appointment - a common rule is at least 30 minutes early for check-in and ID verification. Confirm the provider's late-arrival and forfeiture policy, and check transit or parking in advance.
One-page rules-and-ethics refresher
Review a single sheet you have written covering the highest-yield areas: registration and exemption categories, disclosure document delivery and update requirements, pool financial reporting, recordkeeping, promotional material filing, anti-fraud provisions, and handling of customer funds. Leave it in the car or at home - not in the testing room.
Rest and logistics plan
Protect sleep the night before, eat beforehand, and know where you will park or log in. Fatigue and rushing cost more points on a 45-to-60-minute exam than one extra hour of cramming will earn.
Remote-session backup plan (if applicable)
If testing remotely, run the provider's system check the day before, have a phone available for proctor contact, and know the provider's support number for technical failures. Confirm how time lost to technical problems is handled.
Post-exam plan
Know how and when results are reported and how to schedule a retake if needed. Confirm the provider's waiting period and fee for a retake, and whether your firm or sponsor must reauthorize you.
Plan the day
Stop learning new material. Work only your error log and the rules/ethics outline: registration categories, disclosure document requirements, pool reporting, recordkeeping, and sales-practice prohibitions. Take at most one full timed practice set, then review every wrong answer until you can state the rule being tested.
Re-verify logistics: appointment date, time, address or remote link, ID validity, and name match with the registration. Fix any mismatch now - this is the single most common cause of being turned away.
Confirm with the provider the exam format, allotted time, passing score, permitted items, and break policy so nothing on test day is a surprise.
Do a light pass over your one-page summary and the topics you have missed most often. No new practice exams, no late-night cramming.
Lay out ID, confirmation number, and directions or login link. For remote testing, complete the system/equipment check and clear your desk and room.
Set two alarms, plan the commute, and get a full night's sleep. Avoid alcohol and heavy caffeine.
Eat a normal meal, arrive early (target 30 minutes before the appointment), and read only your one-page summary - nothing new.
At check-in, follow the proctor's instructions exactly: empty pockets, locker for personal items, no phone in the testing room, sign the log. If testing remotely, start the check-in process early.
Read the call of the question first on scenario items - many ask for the BEST or the NEXT step. Eliminate the two answers that are clearly wrong, then choose between the remainder.
Answer every question; there is no credit for blanks. Flag uncertain items and return to them only if time allows, then reserve the last few minutes to confirm no unanswered questions remain.
If the platform freezes or you lose the connection, stop and notify the proctor or provider support immediately and note the time. Confirm with the provider how such interruptions are remediated.
Note how results are delivered and, if you did not pass, confirm the retake waiting period, fee, and any reauthorization step before you leave the site or the provider's portal.
Rules to check
Bring valid, unexpired government-issued photo ID with a signature. The name on the ID must match your registration - confirm the provider's exact ID and name-match policy in advance, because exceptions are limited.
Personal items - phone, watch, notes, bags, food, and any study material - must be stored as the proctor directs and must not enter the testing room. Assume no exceptions unless the provider has approved an accommodation in writing.
Personal calculators are generally prohibited on sponsor-administered futures exams; an on-screen or center-issued calculator is normally supplied. Confirm the calculator policy with the provider before test day.
Do not attempt to reproduce, photograph, or remove exam content. The exam is confidential, and misconduct can result in score cancellation and referral to the sponsor and regulator.
Scheduled breaks are typically not offered on short exams; if you leave the testing room for any reason, the clock generally keeps running. Confirm the break and clock-stoppage policy with the provider.
Scores are reported by the sponsor, and the passing standard is set by the sponsor, not the test center. Confirm the current passing score, scoring method (for example, whether unscored pretest items are included), and retake waiting period directly with the NFA or the provider.
Request any testing accommodation (medical, religious, or otherwise) well in advance through the provider's formal process; day-of requests are generally not accommodated.
If your authorization or eligibility is not active in the provider's system, you will not be seated regardless of a confirmed appointment. Verify eligibility with your firm or the sponsor before the appointment date.