Investment Reference
Offers consulting services for NFA and CFTC applicants.
For Commodity Trading Advisers, Investment Reference will develop the Disclosure Document plus all NFA application forms.
Investment Reference will complete Introducing Broker application forms and assist in office procedure set-up, compliance guidelines, and internal control. Preparatory "NFA mock audits" can be done to assist in meeting NFA rules and requirements.
There is no charge for an initial consultation.
Contact Investment Reference at: (858) 538-6345 (Pacific Standard Time)
or email by completing this form:
To become a CTA you:
- Pass the Series 3 exam
- Join the National Futures Association ("NFA") as
a CTA
- Submit your Disclosure Document to the NFA/CFTC
for registration
You can study for the Series 3 exam
while your application forms are being created and processed -- but your
registration isn't complete until you finish all steps and show proof of passing
the Series 3 exam.
Series 3 National Commodity Futures Exam
The
Series 3 National
Commodity Futures Exam is the exam that is required in order to register with
the National Futures Association as an Associated Person, Commodity Trading
Adviser, Commodity Pool Operator, or Introducing Broker. It's a 2.5 hour 120
question exam divided into rules and market knowledge. You need a 70% on both
parts at one sitting to pass.
You do not need a sponsor in order to sit for the
Series 3 exam.
The Series 3 exam is given Monday - Friday (Saturdays at some locations) at
Prometric or Pearson VUE Testing centers across the U.S. and many overseas
locations.
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