Series 3: 7.1.3. Registration Of Associated Persons

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