Series 3: 7.6.1. NFA Disciplinary Procedures

Taken from our Series 3

7.6.1. NFA Disciplinary Procedures

The CEA requires the NFA and other SROs to establish fair and orderly procedures for disciplining their members and associated persons. These procedures must bring specific charges against the accused, provide the accused with adequate notification and an opportunity to rebut the charges, and keep a record of the proceedings. The decision must specify the act or practice committed (or omitted), the specific rule that has been violated, and the penalty.

In disciplining its members, the CFTC

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.6.1. NFA Disciplinary Procedures, you might also be interested in:

Series 26 - Chapter Two

Series 65 - Trading Authorization

Series 65 - Section Three

SIE - Mortgage Bonds

Series 6 - 2.1.4. Internal Inspections and Compliance

Series 79 - A.1.2. Categories of Financial Markets

Series 65 - 1.3. International Economic Factors in Securities Markets

Series 24 - 3.7.2.6. First Trade in a Long Margin Account

Series 65 - Time Horizon

Series 28 - Default or Regular Way Settlement

Series 6 - Chapter 1 Practice Question Answers

Series 3 - 5.3.2. Credit Call Spread

Series 65 - 2.3.6. Protective Provisions

Series 6 - 4.2.14.1. General Obligation Bonds

Series 54 - 1.1.2. Securities Exempt from Registration

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

Completing the Series 7 was a requirement for my current position. After seeing the material and dedication Solomon Exam Prep put into the SIE material, I knew Solomon’s material would be perfect for me again. I had access to STC material and tried to go through it first but it was too content heavy and at certain points, very confusing. I decided to move back over to Solomon for the 7 and was blown away yet again by how great the material is. Solomon has figured out how to properly prepare people for this exam in my opinion. Solomon Exam Prep focuses on teaching the concept rather than bogging you down with so much material. THAT IS SO HELPFUL! Of course the material is important but it’s extensive. After using Solomon Exam Prep for the Series 7, I was able to fully understand the concepts which made it so much easier to select the best questions on the exams. All the other training programs bury you deep with content, which makes it almost impossible to understand the concepts. If you get questions on the exam that you have not seen before, only knowing specific material will not help you. But if you understand the concepts (like Solomon Exam Prep helped me do) you can break down the question and find the best answer based on your understanding of the concept as a whole. That’s a much better method and Solomon Exam Prep has figured this out! I strongly suggest buying the study guide. You won’t regret it!

Jared M. Albany, New York

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

Thank you, Solomon! I passed the SIE and am now working on Series 7. Coming from a background outside of Wealth Management and Finance, I found this material very user friendly. I regularly used the iPhone app as well as the online material, followed the study guide and took A LOT of practice tests. I am grateful for the team at Solomon with a special call out to Madi B and Jeremy S who gave me additional support whenever I needed it. I look forward to the Series 7 content as I was very impressed with the SIE content.

Jeremy Johnson, RBC Wealth Management. Green Bay, WI