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

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.1.2. On-Site Visits, you might also be interested in:

Series 22 - 2.5.1. Short- and Long-Term Capital Gains

Series 65 - Exercise

Series 53 - 3.6.41 Rule G-42—Duties of Non-Solicitor Municipal Advisors

Series 14 - 5.1.6.3. Review of Customer Accounts

Series 14 - 4.1.8. Subordination Agreements

Series 51 - Types of Underwritings/Offerings

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 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

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

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

Then, I bought Solomon’s Exam Prep 65. As I did with the other two, I went step by step, and when it said I was ready I sat for the exam! Boom! 80%, passing all four sections at once! So if you’re surfing the internet right now wondering who to go with….STOP….Solomon’s is the right choice for today’s professional to get the licensing you need done the first time, not the third!

Shad Johnson, The Mueller Companies, Canon City, CO

Finally! Having used the study material provided by my firm, I couldn't get over the passing level. Came out of pocket for Solomon, and passed [the Series 24] on the first effort - Thank you!

Scott Krogmann, Regions Bank, Knoxville, TN