Series 3: National Commodities Futures License Course


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How to Get Your Series 3 National Commodities Futures License

Series 3 License Requirements:

  1. 1. Firm Sponsorship is NOT required
    • To take the Series 3 Exam, you must:
      • — Be 18 years of age
  2. 2. Study for Your Series 3 License
    • By choosing STC as your exam prep provider, you gain access to print and online study manuals, online practice exams, the instructor hotline, and more.
  3. 3. Complete Your TESS Filing or Form U4
    • If you’re taking the exam independently, you must utilize the Test Enrollment Services System (TESS), which is similar to the former Form U10, to file an exam request with FINRA.
    • If you’re sponsored by a firm, your sponsoring firm will send your completed Form U4 to FINRA.
    • FINRA will then send enrollment instructions and provide a 120-day window to schedule your exam.
  4. 4. Schedule Your Exam
  5. 5. Pass the Series 3
    • After your exam, you’ll receive a printed copy of your score.
    • To obtain your Series 3 License, there are no corequisite exams that must be passed.

Don’t go it alone! The BasicPlus Self-Study Package allows you to prepare, practice, and perform with the guidance of an instructor, but on a schedule that works best for you. This choice allows you to prepare with a recorded version of our classroom content at recommended times during your study program, and then provides access to review it at any time you want, and as many times as you want. Start your exam preparation by building a customizable study calendar based on your study time frame and exam date. Begin preparing for your exam with units in the License Exam Manual, and then practice with custom quizzes after each unit with the SecuritiesPro QBank. Use our Class Notes during the OnDemand class for organized note-taking and a convenient review after class has ended. Finally, test your performance with our Practice Exam for a final review before the actual exam.

The BasicPlus Self-Study Package Includes:

Study Calendar – Prepare for your series exam by building a customizable study calendar to schedule daily tasks unique to your study time frame and test date. This interactive calendar helps you plan for specific days off and calculates the average amount of time you will be studying each day. Plan your exam prep around your personal schedule and study preferences and coordinate assignments based on Kaplan’s Prepare • Practice • Perform learning strategy.

License Exam Manual (LEM) – This comprehensive textbook is the foundation of your series exam preparation. The text addresses key terms and significant topics, broken down into easily digestible units. Units contain multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your series exam. The text also includes:

  • Practice exam
  • Glossary of common terms
  • Appendix with commonly used charts

OnDemand Online Class – This recorded version of our classroom lecture eliminates the constraints of attending scheduled classroom delivery. This choice allows you to prepare with our classroom content at recommended times during your study program, and then provides access to review it at any time you want, and as many times as you want.

Class Notes – Prepare for your exam with these spiral-bound, soft-cover books that highlight important series exam topics. They include the key points addressed in our live classes, allowing you to focus on the instructor without having to worry about taking notes. The notes are grouped by lesson and provide a convenient format for organized review after class has ended.

SecuritiesPro QBank – Practice your test taking skills and test your knowledge with thousands of exam-focused questions and solutions. This interactive QBank allows you to build personalized exams based on length and topic of your choice and features unlimited exam attempts that are randomly generated each time. The Qbank also gives you the ability to:

  • Complete the exams online or print them out to study on the go.
  • Review your performance on previously taken exams.
  • Track time spent on a question and/or exam.
  • Search for specific questions based on keyword, question ID, or notes.
  • Create personal notes and bookmarks on questions for future reference.
  • Build weighted mock exams to provide a comprehensive test review of all material.

Practice Exam – Test your performance with an online collection of practice questions built on the most current test topics. Frequently updated to address the latest regulations, this exam may be taken only once and provides a score with diagnostic feedback. It is designed to be an accurate measure of preparedness before your actual exam. You should carefully review all Practice Exam questions and topics prior to your series exam to ensure the best possible results.

Exam Tips & Content Updates – As you prepare for exam day, use this online resource to stay up-to-date on the most current changes and study strategies related to your series licensing exam.

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