Series 3 - Exam Information

Individuals who have passed the Series 3 exam may register as an associated person with an NFA member and may transact business in futures contracts and options on futures contracts. Individuals who have passed the Series 3 exam may apply for NFA membership as any of the following:

  • Sole proprietor
  • FCM
  • RFED
  • IB
  • CPO
  • CTA

Enrollment Fee:

$110 US. Note that this is the examination enrollment fee ONLY - other fees may also apply.

Prerequisite:

None.

Format:

Multiple Choice and True/False questions.

Number of Questions :

Part One # Questions
Future Trading Theory and Basic Functions Terminology 19
Futures Margins, options Premiums, Price Limits, Settlements, Delivery, Exercise and Assignment 15
Types of orders, Customer Accounts, Price Analysis 11
Basic Hedging and Hedging calculations 9
Financial Hedging 10
Spreading 3
Speculation in futures 3
Part Two  
CFTC / NFA Rules and Regulations 35
TOTAL   120

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Series 3 Study Textbook

Series 3 Exam Textbook

Paperback    204 pages    191 test questions    Published December 2015

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