Series 51: Exercise

Taken from our Series 51 Online Guide

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Exercise

Fill in the blank

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. After the SEC receives a broker-dealer’s application, assuming no problems, registration with the SEC will generally be effective within _____ days.
3. A separate division or department of a bank engaged in the business of buying and se

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