Series 3: 7.3.1. Supervision Of Branch Offices And Guaranteed IBs

Taken from our Series 3 Online Guide

7.3.1. Supervision of Branch Offices and Guaranteed IBs

NFA member firms must diligently supervise their employees and agents in the conduct of their commodity futures activities. These responsibilities not only apply to the supervision of their principal and branch office operations, they also impose a direct duty on guarantor FCMs to supervise the activi

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