How to Get Your Series 3 License


The Series 3 license qualifies you to become a commodities broker. The Series 3 exam, which is also referred to as the National Commodity Futures exam, is administered by the Financial Industry Regulatory Authority (FINRA). It is a prerequisite for membership with the National Futures Association (NFA). You don't need firm sponsorship to take the Series 3 exam, so anyone can register.

Things You'll Need

  • completed Form U10
  • exam fee
  • passing exam score
  • Go to the FINRA website to get Form U10. Fill out the form and submit it online or print it out and submit it via traditional mail.

  • Pay the examination fee. You'll see a list of exams and their corresponding exam fees at the end of Form U10. Look for the Series 3 exam fee. You can pay online using a credit card or send your payment with your completed Form U10 if you use traditional mail.

  • Wait for an enrollment confirmation. Once FINRA processes your form and payment, they will send you an enrollment confirmation. The confirmation will specify a window of time during which you may register for and take the Series 3 exam.

  • Find the closest testing center and contact them to register for the exam. FINRA provides a list of testing centers on their website.

  • Pass the exam. The Series 3 exam consists of 120 multiple choice and true/false questions. You need to score at least 70 percent in order to pass the exam and get your license.

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