Series 3: 7.3.1.2. On-Site Visits

Taken from our Series 3

7.3.1.2. On-Site Visits

In addition to day-to-day supervisory procedures, adequate supervision of the personnel who work in the main office must also include annual on-site inspections. Follow-up procedures should also be in place to ensure that any deficiencies revealed during an on-site visit are promptly corrected. The written proc

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Solomon Exam Prep Study Materials for the Series 3
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