Series 53: Exercise

Taken from our Series 53 Online Guide


Fill in the blank

  1. 1. When the firm acts as a dealer, it is a/n _____ transaction.
  2. 2. A group of municipals dealers teams up to purchase and sell a large block of municipal securities. They will form a/n _____ account.
  3. 3. The secondary market for dealers is also known as a/n _____ market.
  4. 4. If the firm is acting as a go-between for the buyer and seller, then this is a/n _____ transaction.
  5. 5. _____ are dealers that buy and sell out of their own inventory and post bid and ask prices.
  6. 6. A municipal bond dealer that specializes in brokering transactions for other municipals dealers is a/n _____.

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