Series 3: 7.1.3. Registration Of Associated Persons

Taken from our Series 3

7.1.3. Registration of Associated Persons

Individuals who are hired by an NFA-registered firm as an associated person must register online by filing a Form 8-R and attaching a fingerprint card. In addition, applicants must have met the NFA’s proficiency requirements by having passed the Series 3 National Commodities Futures Examination no more than two years prior to their application. The Series 3 exam is administered by FINRA.

An applicant must be sponsored by a registered firm that certifies its intention to employ the applicant as an AP within 30 days. In addition, it

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.1.3. Registration Of Associated Persons, you might also be interested in:

Series 27 - Business Continuity Plans and Emergency Contact Information

Series 54 - 2.3. The Municipal Underwriting Process

Series 26 - Retirement Accounts

Series 50 - Yield to Call

Series 65 - Paying Solicitors for Advisory Business

Series 14 - 6.1.6.1. Delivery of a Prospectus

Series 24 - Member Supervisory Controls

Series 63 - Chapter 6 Answers and Explanations

Series 52 - 8.4.2.3.8. Form CRS

Series 24 - Specifying the Type of Order

Series 99 - 1.2.4.2 Material, Non-Public Information

Series 26 - Code of Mediation

Series 79 - Communications Not Deemed a Prospectus (Rule 134)

Series 50 - Net Debt to Estimated Real Valuation

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

I used your materials for the Series 79, Series 82, and the Series 63 and scored all in the mid-80% range. Thanks for your help and support!

Carlie Headapohl San Diego, CA

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

Passed Series 65 (80%) on first attempt. THANK YOU, Solomon Exam Prep and all of your VERY helpful and courteous staff! Will be back for next two exams.

James M., Fort Lauderdale, FL