Series 51: Exercise

Taken from our Series 51 Online Guide

Exercise

Fill in the blank

  1. 1. Municipal securities dealers do not include _____ or those who buy or sell municipal securities for their own accounts, but not as part of a regular business.
  2. 2. After the SEC receives a broker-dealer’s application, assuming no problems, registration with the SEC will generally be effective within _____ days.
  3. 3. A separate division or department of a bank engaged in the business of buying and se

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