Series 3: Exercise

Taken from our Series 3

Exercise

Answer true or false.

1. _____ The NFA may discipline a guarantor FCM for violations of NFA rules committed by its guaranteed IBs if the guarantor fails to diligently supervise them.
2. _____ New account records should be kept at the office of the guaranteed IB.
3. _____ The written policies and procedures should be kept on file and made available to both its own personnel and its guaranteed IB personnel.
4. _____ NFA expects that on-site inspections of guaranteed I

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