Series 3: 7.3.1.1. Day-to-Day Monitoring

Taken from our Series 3

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

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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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