Series 3: 7.3.6.2. Written Procedures And Recordkeeping

Taken from our Series 3 Online Guide

7.3.6.2. Written Procedures and Recordkeeping

Every NFA member firm must adopt and enforce written procedures to supervise its associated persons and employees for compliance with the communications requirements.

Prior to its first use, all promotional material must be reviewed and approved in writing by an officer, branch office manager, or other supervisory employee other than the individual who prepared the materia

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.6.2. Written Procedures And Recordkeeping, you might also be interested in:

Series 53 - Exercise

Series 65 - No Bundling

Series 65 - 6.1.3.3.1 Income Earned Within an Estate Account

Series 65 - Third Market

Series 79 - 3.4.2.1. LIFO

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

I sat for the Series 99 and passed on my first attempt! I am thankful for the Solomon Exam preparation. The four-week study schedule was a life saver. I recommend using the Solomon products to prepare for any Series exam.

Cachet Johnson, PNC, Cleveland, OH

The study material was absolutely perfect. My undergrad degree is in Mechanical Engineering and my graduate degree is in management so no formal finance education and it would not have been possible to pass the Series 79 without the Solomon material. Thanks so much.

Dave Bender, Cascadia Capital, Seattle, WA

Passed it [Series 6] with an 80%!!!!! Thank you for everything, it was worth every cent.

Craig Tanimine, North Hills, CA