Series 51: Exercise

Taken from our Series 51 Online Guide

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Exercise

Fill in the blank

1. The SEC and the other governing regulatory agencies have the power to censure or suspend a municipal securities dealer for a period up to _____ or to revoke their registration for committing a prohibited act if regulators determine it is in the public interest.
2. The _____ violation of any provision of the Securities Act, Exchange Act, Investment Company Act, Investment Advisers Act, or any MSRB rules could result in suspension or revocation of a municipal securities dealer’s registration.
3. _____ can also face penalties for failing to properly supervise the activities of an associated person who e

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Margaret Chen, PFS Investment, Duluth, GA

I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

Briana Turner, Cambridge Investment Research. Virginia Beach, VA

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Katrina Jackson, Cambridge Investment Research, Fairfield, IA

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Jason Smith, Primerica, Duluth, GA