Series 3: Exercise

Taken from our Series 3 Online Guide

Exercise

Answer true or false.

1. _____ The NFA may discipline a guarantor FCM for violations of NFA rules committed by its guaranteed IBs if the guarantor fails to diligently supervise them.

2. _____ New account records should be kept at the office of the guaranteed IB.

3. _____ The written policies and procedures of NFA member firms should be kept on file and made available to both their own personnel and their guaranteed IB

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