Series 53: Exercise

Taken from our Series 53 Online Guide

Exercise

Answer the following questions

  1. 1. The SEC and the other governing regulatory agencies have the power to censure or suspend a municipal securities dealer for a period up to _____ or revoke their registration for committing a prohibited act if regulators determine it is in the public interest.
  2. 2. The _____ violation of any provision of the Securities Act, Exchange Act, other securities laws or regulations, or any MSRB rules could result in suspension or revocation of a municipal securities dealer’s registration.
  3. 3. _____ can also face penalties for failing to properly s

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