Series 51: Exercise

Taken from our Series 51 Online Guide

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Exercise

Answer true or false

1. True or false: A dealer’s duty to deal fairly requires underwriters to make certain disclosures to the issuers of municipal securities.
2. True or false: For 529 plans, brokers are required to give their customers an official statement by the completion of the transaction.
3. True or false: In the sale of a municipal fund security, the underwriter may satisfy its obligation to deliver the final official statement to a customer by submitting it to the EMMA website and advising the customer how to locate the document on EMMA and promising to deliv

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