Series 3: 7.3.1.1. Day-to-Day Monitoring

Taken from our Series 3 Online Guide

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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