Series 53: Prohibited Uses Of Proprietary Information By Fiduciaries And Improper Use Of Assets

Taken from our Series 53 Online Guide

Prohibited Uses of Proprietary Information by Fiduciaries and Improper Use of Assets

When broker-dealers act in a fiduciary capacity, they often receive access to confidential, nonpublic information about the ownership of municipal securiti

+ Read More

More Series 53 Info

What are people saying?

Create an Account

Since you're reading about Series 53: Prohibited Uses Of Proprietary Information By Fiduciaries And Improper Use Of Assets, you might also be interested in:

SIE - Chapter Two

Series 3 - Exercise

Series 7 - 10.2.8. Political, Legislative, and Regulatory Risk

Series 7 - 12.6.1 Stabilizing Bids and Penalty Bids

Series 14 - 6.2. Exemptions from the Registration Process

Series 7 - 11.1.1 Approval and Recordkeeping

Series 53 - Securities Records

Series 79 - Dividend Payout Ratio

Series 52 - 6.3.3. Compound Accreted Value

Series 7 - 9.4.2.2.1. Bearish Patterns

Series 65 - 3.7.4.7.1. Units and Assumed Interest Rate (AIR)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Passed the 52 and 53 within two months thanks to the clarity of Solomon's materials. Great product!

Jonathan Bowman, Raymond James. Ennice, NC

Jeremy, I just wanted to take a moment to say thank you so much for your wonderful product! Your study guides helped me pass the 7, 66, 24, 52, and 53 all within 2 and a half months. Thank you again!

Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA

I passed my Series 53!! After using another well known company and not having success; Solomon's study material was accurate, clear, and easily laid out to help understand the sequence of events for Municipals. Would recommend Solomon to anyone! Thanks

Christina Caldwell, Cambridge Investment Research, Kansas City, MO

I passed my Series 53! The study material from Solomon was a tremendous help. Thank you.

Denise S.

I utilized a competitor's product and failed the first time I took the Series 53. It wasn't from the lack of studying. After researching what other courses to buy, I luckily found Solomon. The exam material was up to date and the practice exams were much more challenging than the other program. I would highly recommend Solomon and plan on utilizing them if I should have to take another exam. Thank you.

Andrew Shubert, Craft Capital Management, Garden City, NY

Passed 53, Thanks for your help and study materials, study guide and exam simulators were excellent on test preparation for the Series 53. When one applies the time with your materials, a positive outcome can be achieved . Thanks too for answering my question/questions over the weekend.

Tim Milani, Barrington, IL