Series 3: 7.3.1. Supervision Of Branch Offices And Guaranteed IBs

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7.3.1. Supervision of Branch Offices and Guaranteed IBs

NFA member firms must diligently supervise their employees and agents in the conduct of their commodity futures activities. These responsibilities not only apply to the supervision of their principal and branch office operations, they also impose a direct duty on guarantor FCMs to supervise the activi

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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)

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