Series 53: Exercise

Taken from our Series 53 Online Guide

Exercise

Fill in the blank.

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. 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. Dealers must obtain suitability information before making a _____

Since you're reading about Series 53: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 53
Please Enable Javascript
to view this content!