Series 3: 7.3.1.3. Ongoing Training

Taken from our Series 3 Online Guide

7.3.1.3. Ongoing Training

NFA members must establish procedures to ensure that its employees are properly trained to perform their duties; that they receive adequate training to abide by industry rules and regulations, and to properly handle customer accounts; and that they have completed the required ethics training.

NFA Rule 2-9(a) and Interpretive Notice #9019

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