Series 53 Audio

Solomon Series 53, 1st Edition

MSRB Municipal Securities Principal Qualification Exam

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Track Title Bookmark Length Download
1 Copyright 0:18
2 Note From The Publisher 0:50
3 Introduction 10:46
4 Chapter 1: Federal Regulations 18:37
5 MSRB Rulemaking 19:49
6 Chapter 2: General Supervision 19:10
7 Associated Persons Registration 14:31
8 Disqualification Rules and Disciplinary Actions 15:01
9 Member Supervisory Controls 13:45
10 Fair Pricing Requirements 14:45
11 Recordkeeping Requirements 11:15
12 Chapter 3: Sales Supervision 13:09
13 Managing New Customer Accounts 16:18
14 Communications by Employees from Disciplined Firms 12:26
15 Chapter 4: Primary Offerings and Syndicate Practices 15:08
16 Municipal Fund Securities 12:46
17 Authorizing the Bonds 15:17
18 Continuing Disclosure Agreement 14:52
19 Depository Eligibility Registration: Issuers 15:27
20 Selling the Bonds (GO and Revenue) 14:11
21 Under-subscription 14:59
22 Lead Underwriter Recordkeeping Responsibilities 13:11
23 Chapter 5: Trading Municipal Bonds 16:56
24 Trade Reporting Responsibilities 15:57
25 Alternative Trading Systems Records 14:58
26 Chapter 6: Uniform Practice and Recordkeeping 15:56
27 Securities Issue Information 16:43
28 Interest Payment Claims: Bearer Bonds 14:43
29 Execution of Close-out 17:15
30 Customer Account Transfers 15:02

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