Series 51: Exercise

Taken from our Series 51 Online Guide

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Exercise

Fill in the blank

1. Dealers must set up a supervisory system to review incoming and outgoing _____ between its Municipal Securities Representatives and the public pertaining to municipal securities activities.
2. Suitability information includes a customer’s _____, tax status, investment objectives, and any other information pertinent to making suitable recommendations on the customer’s behalf.
3. Dealers must obtain suitability information before making a _____ to the customer.

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