Series 3 Exam Prep

• Offer or solicit business in futures or options on futures at a futures commission merchant (FCM) or introducing broker (IB) or who supervise any such person
  
• Are associated with a commodity trading advisor (CTA) who solicits discretionary accounts or who supervises persons so engaged
  
• Are associated with a commodity pool operator (CPO) who solicits funds for participation in a commodity pool or who supervises such persons

• Series 3 exam preparation can be either in seminar, self-study, or interactive formats.
  Be sure your preferred format includes Series 3 exam practice tests!
  
• Recommended study time is between 30-50 hours
  
• Series 3 candidates are not required to be sponsored to sit for the licensing exam; however, candidates are required to be sponsored to receive their Series 3 license
  
• Candidates must submit a Form U10 and applicable fee to the Financial Industry Regulatory Authority (FINRA)
  
• After FINRA confirms that the form was received and processed, a 120-day window will be opened in which the applicant may schedule and take the exam
  
• Exams for your securities trader Series 3 license can be scheduled at any Prometric test center nationwide
  
• Candidates who are successful in passing the Series 3 exam will have a period of 2 years to find a sponsor who will submit their registration documentation
  
• Candidates who are NOT successful in passing the Series 3 exam must re-file the Form U-10 and processing fee with FINRA, whereby a new 120-day window will be opened
  
• In-depth licensing questions should be directed to the National Futures Association (NFA) at 800-621-3570

Recommended In-Person Seminars Series 3 National Commodity Futures Seminar Series 3 Exam / Futures and Options Seminar Recommended Books, CDs, and DVDs Series 3 – Self-Study & Online Review Class Package Series 3 PassMaster Premium Package with Study Manuals

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