Series 3: 7.3.1.2. On-Site Visits

Taken from our Series 3

7.3.1.2. On-Site Visits

In addition to day-to-day supervisory procedures, adequate supervision of the personnel who work in the main office must also include annual on-site inspections. Follow-up procedures should also be in place to ensure that any deficiencies revealed during an on-site visit are promptly corrected. The written proc

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.1.2. On-Site Visits, you might also be interested in:

Series 27 - Other Subsidiary Ledgers

Series 14 - 6.2.5. Private Resales to Qualified Institutional Buyers: Rule 144A

Series 65 - 10.11.16.5. Ban on Certain Third-Party Solicitors

Series 50 - Taxation of Interest at the State and Local Levels

Series 79 - Beneficial Ownership Reports: Schedules 13D and 13G

Series 79 - Ongoing Reporting Obligations

Series 3 - 7.3.3.6. Reporting of Segregated Accounts to Regulators

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 studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

Your test simulator was invaluable. I took 1500 test questions before the real exam (Series 6). Scored an 89, thanks to your product.

Jesse Welch, New York Life, Arvada, CO

I passed the Series 7 on my first attempt after using the Solomon study book and practice tests. The practice tests were crucial in understanding how the official exam would ask questions and greatly benefited me.

Jeff D, Securities America, La Vista, NE

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 3: 7.3.1.2. On-Site Visits

Taken from our Series 3

7.3.1.2. On-Site Visits

Since you're reading about Series 3: 7.3.1.2. On-Site Visits, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →