Certification, Licensing, and Special Requirements
Certification and Licensing
To become a commodities broker, it is necessary to pass the National Commodities Futures Examination (the Series 3 exam) to become eligible to satisfy the registration requirements of federal, state, and industry regulatory agencies. The test covers market and trading knowledge as well as rules and regulations and is composed of multiple choice questions. Registration for the exam is through the Financial Industry Regulatory Authority (http://www.finra.org). Preparation materials are available through a number of sources, such as the Institute for Financial Markets (http://www.theifm.org). Brokers must also register with the National Futures Association.
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