Series 3: 7.3.1.1. Day-to-Day Monitoring

Taken from our Series 3 Online Guide

7.3.1.1. Day-to-Day Monitoring

On a regular basis, NFA member firms must monitor the business being conducted in its remote locations. The extent of the monitoring depends on a number of factors, including the volume of trading at the branch office, the experience of its personnel, the type of its customer business, the

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.1.1. Day-to-Day Monitoring, you might also be interested in:

Series 24 - Networking Arrangement Guidelines

Series 51 - Recordkeeping Maintenance

Series 24 - Nasdaq Business Hours

Series 52 - Soliciting Business Through Third Parties

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

Thank you for the flexibility and the study material for 63, I ended up with an 87 thanks to your materials! Thank you Solomon!

Allen Ruffles

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

Jonathan Livi, Uber Capital Group, Great Neck, NY