Series 51: Exercise

Taken from our Series 51 Online Guide

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Exercise

Fill in the blank

1. In a customer account transfer, the carrying party has _____ to validate and return the transfer instruction to the receiving party or to take exception to it.
2. A _____ is an issue in default or a municipal fund security that may only be held by specified dealers and the receiving party isn’t one of them.
3. Within _____ following the validation of a transfer instruction, the carrying party must complete the transfer of the account to the receiving party.
4. To

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I loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.

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