Series 51: Exercise

Taken from our Series 51 Online Guide

Exercise

Answer true or false.

1. True or false: Municipal securities dealers are required to register with either the SEC or MSRB.

2. True or false: Municipal securities dealers are required to pay an annual fee of $100 to the MSRB.

3. True or false: If a broker-dealer ceases to conduct municipal securities transactions, it need not take any further acti

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