Series 51: Broker-Dealer Associations

Taken from our Series 51 Online Guide

Broker-Dealer Associations

An association of brokers and dealers, such as FINRA, may not be registered as a national securities association unless the SEC determines that it meets the following requirements:

• It must attempt to prevent fraudulent and manipulative acts and practices.

• It must promote just and equitable principles of trade.

• It must attempt to protect investors and the pu

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Using Solomon was very helpful. The exam simulator tests were great, but I should have spent a little more time re-reading the chapters. Passed (Series 51) on my first try.

Kelli Lanino, Raymond James Financial Riverhead, NY

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Katrina Jackson, Cambridge Investment Research, Fairfield, IA

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Amber Carrick, Keystone Financial Management, Bath, PA

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Jason Smith, Primerica, Duluth, GA