Series 51 Audio

Solomon Series 51, 2nd Ed.

MSRB Municipal Fund Securities Limited Principal Qualification Exam

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Track Title Bookmark Length Download
1 Note from the Publisher 0:54
2 Copyright 0:21
3 Introduction 11:44
4 Chapter One: Regulatory Structure 13:33
5 Investment Company Act of 1940 17:19
6 Antifraud Regulation 9:55
7 Chapter Two: Product Knowledge: Municipal Fund Securities 14:32
8 Arbitrage Rules and LGIP Tax Exempt Status 17:51
9 Contributors 15:01
10 The ABCs of Municipal Fund Shares 19:17
11 Uniform Transfer To Minors Act UTMA Accounts 8:40
12 Chapter Three: General Supervision 16:21
13 Change in Status 26:22
14 Chapter Four: Fair Practice and Conflicts of Interest 20:59
15 Solicitation of Municipal Securities Business 18:51
16 Advertisements: MSRB Rule G-21 9:51
17 Chapter Five: Sales Supervision 17:31
18 New Suitability Standard 18:44
19 Prohibited Illegal Activities 4:27
20 Chapter Six: Underwriting and Disclosure Obligations 14:06
21 New Issue Data Submissions: MSRB Rule G-34 and G-32 17:40
22 Municipal Fund Disclosures 11:24
23 Chapter Seven: Operations 18:21
24 Customer Requests for Information 14:47

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