Series 53: Exercise

Exercise

Fill in the blank

1. 1. Dealers must set up a supervisory system to review incoming and outgoing _____ related to municipal securities activities between its Municipal Securities Representatives and the public.
2. 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. 3. Dealers must obtain suitability information before making a _____ to the customer.
4. 4. If a client refuses to provide suitab