Series 3: 7.3.1.1. Day-to-Day Monitoring

Taken from our Series 3

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

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.1.1. Day-to-Day Monitoring, you might also be interested in:

Series 3 - 5.4. Summary

Series 52 - 9.2.2. Customer Trade Confirmations

Series 26 - Branch Office

Series 26 - Chapter 2 Practice Question Answers

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 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

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

Taking the 63 felt like a breeze, thanks to your exam prep materials. I didn't have to flag any questions for review, and was confident throughout that I'd get to see the screen say "Pass" when it was over.
Now 3-for-3 using Solomon to help me pass a licensing exam on the first attempt. The materials are easy to digest and comprehensive, and having the ability to take high-quality practice tests prepared me well for the real exams. Very grateful to my employer for using this content, and to the team at Solomon for making it so complete and easy to use.

Andrew Nerys, Square Inc. San Francisco, CA

I passed the SIE on my first attempt thanks to Solomon Exam Prep's structure and chapter guides consolidating a large amount of information into easy to learn material. I did not study finance in College and have been in Compliance for the better part of my career. This has been a validating experience thanks to Solomon Exam Prep.

Marlon Gonzalez-Perez, Tradition. New York, NY

Thanks for your help. I passed my Series 6 test! Couldn't have done it without Solomon Exam Prep study materials.

Joshua J. Parsons, Redbud Financial Group, Oklahoma City, Oklahoma