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Series 3 Exam Prep

If you are looking to conduct business with the public on the U.S. futures exchanges, then you probably are wondering how to pass the Series 3 exam � How much you need to study for it, what material is covered in the exam, and what are some tips that will increase your chances of obtaining the Series 3 license on your first try?

The Bank Training Center provides numerous Series 3 exam preparation courses - such as Series 3 seminars, Series 3 online courses, and Series 3 exam practice tests - all designed to help you pass your Series 3 exam and earn your Series 3 license.

The securities trader Series 3 license is known formally as the National Commodities Futures license and is a proficiency test issued by the National Futures Association (NFA), the self-regulatory organization for the U.S. futures industry. It is required of individuals who:

  • 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
About Your Series 3 Exam
  • 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 Courses & Available Training Options

To find training for earning your Series 3 license, including Series 3 exam preparation or Series 3 exam practice tests, simply click on any of the recommended courses below, or search under "Licensing/Designations" in the search box thereafter for "Series 3".

Good luck on your Series 3 exam!

Series 3 Exam Prep

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