Series 3: 7.3.1.3. Ongoing Training

Taken from our Series 3 Online Guide

7.3.1.3. Ongoing Training

NFA members must establish procedures to ensure that its employees are properly trained to perform their duties; that they receive adequate training to abide by industry rules and regulations, and to properly handle customer accounts; and that they have completed the required ethics training.

NFA Rule 2-9(a) and Interpretive Notice #9019

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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)

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Series 3: 7.3.1.3. Ongoing Training

Taken from our Series 3 Online Guide

7.3.1.3. Ongoing Training

Since you're reading about Series 3: 7.3.1.3. Ongoing Training, you might also be interested in:

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