Series 50: Activities Of Principals

Taken from our Series 50 Online Guide

Activities of Principals

Only certain principals can oversee certain municipal securities activities. The following table summarizes the activities that each principal can oversee.

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I had the Series 50 study guide memorized backwards and forwards, but still found the exam to be extremely difficult. I think the study guide still needs a lot of refining to cover more of the exam content, but I sure as heck wouldn't have passed the exam without it. Found the Solomon study guide to be absolutely necessary, but still in need of considerable improvement.

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Which Principal Is Permitted to Do the Following Municipal Securities Tasks?
	Municipal Securities Principal (Series 53)	Municipal Securities Sales Principal (Series 9/10)	General Securities Principal (Series 24)	Municipal Fund Securities Principal* (Series 51)
*Supervision only applies to activities that solely relate to municipal fund securities.
Review and approve new accounts that will transact in municipal securities	X	X	X	X
Review accounts that will transact in municipal securities for abuse and irregularities	X	X		X
Approve of municipal transactions (final approval of orders)	X			X
Oversee compliance with applicable MSRB rules	X			X
Follow up on complaints regarding municipal securities activities	X	X		X
Periodically review each office where municipal securities ac