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

Taken from our Series 3

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

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.1. Supervision Of Branch Offices And Guaranteed IBs, you might also be interested in:

Series 50 - Default

Series 65 - Subordinated Debentures

Series 26 - Retiring Representatives

Series 7 - 3.5.2.1. Protective Covenants

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

When I first signed up for the SIE I was overwhelmed. The topic range was so broad. I began studying the study guide and listened to the audiobook. I also watched the video lectures. The information began to sink in. What really put me over the top was when I signed up for and attended the live class. Our instructor, JD Page, helped me to remember the most important pieces of information for the test. He not only gave us facts, but the reasons behind the facts. It really helped to cement the material into my mind. When I went in for the SIE Exam, I was able to move through the questions quickly and even had enough time to go through every question again. Thank you Solomon Test Prep!

Jason Vreeke CoreCap Investments LLC High Point, NC

I began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

Then, I bought Solomon’s Exam Prep 65. As I did with the other two, I went step by step, and when it said I was ready I sat for the exam! Boom! 80%, passing all four sections at once! So if you’re surfing the internet right now wondering who to go with….STOP….Solomon’s is the right choice for today’s professional to get the licensing you need done the first time, not the third!

Shad Johnson, The Mueller Companies, Canon City, CO

I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

Alyssia Simpson. Denver, CO.