Series 3: 7.3.1.1. Day-to-Day Monitoring

Taken from our Series 3 Online Guide

7.3.1.1. Day-to-Day Monitoring

On a regular basis, NFA member firms must monitor the business being conducted in its remote locations. The extent of the monitoring depends on a number of factors, including the volume of trading at the branch office, the experience of its personnel, the type of its customer business, the

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.1.1. Day-to-Day Monitoring, you might also be interested in:

Series 24 - Supervisory Control Procedures

Series 7 - 9.4.1.5. More Tools of Fundamental Analysis: Financial Ratios

Series 66 - Liquidation/Trade

Series 65 - 2.11.1.1. Treasury Bill Quotes

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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 stuck to the outline day by day and it really helped me with sticking to a routine and curriculum. I passed the Series 24 on my 1st try! Would definitely recommend this to anyone in the Securities Industry.

Rima Mehta, PNC Investments, Charlotte, NC

Just passed the Series 26! As a new mom, I relied heavily on the Audiobooks and being able to read or test on my iPad whenever I could. The material was accurate and I felt well-prepared after following the suggested study schedule.

Usha Sharma, Transamerica, West Covina, CA

3rd time is a charm and it took Solomon to do it. None of the other materials in my first two attempts were strong enough to enable me to reason my way to the correct answers. Solomon's angle on this material was closest to the actual test and was the reason I got there.

As an aside, the ongoing personal help was very surprising and commendable. Thank you, Solomon!

Jason Bowen, Southington, CT

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

Series 3: 7.3.1.1. Day-to-Day Monitoring

Taken from our Series 3 Online Guide

7.3.1.1. Day-to-Day Monitoring

Since you're reading about Series 3: 7.3.1.1. Day-to-Day Monitoring, 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 →