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Series 3 Exam

National Commodity Futures Exam

The Series 3 exam is for anyone who is going to act as an Associated Person, Commodity Trading Advisor, Commodity Pool Operator, Introducing Broker, or Futures Commission Merchant.

Click here for a description of Series 3 exam study books, CD roms, and Blue Book of Final Exams.

The NFA study outline for the Series 3 exam has eight categories, the first seven representing "market knowledge" and the eighth representing "rules". When you sit for the actual exam, however, the printout from the test center will show ten categories.

Your test print out will show the first nine categories (or "Group One") of the Series 3 exam, called Market Knowledge, with 85 test questions. The tenth category ("or Group two"), called Rules and Regulations, has 35 test questions.  You must achieve a 70% on each group to pass the Series 3 exam. The FINRA(NASD) fee for the exam is $115.00. Use application form U-10.

Some candidates, who host a branch office of a CTA, CPO, or IB, may have to sit for the Series 30 Exam - Futures Branch Manager. A prerequisite is the Series 3 exam or the Series 31 exam. A Series 3 registrant can supervise 3s and 31s; a Series 31 registrant can supervise only 31s.

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