Series 51: Written Supervisory Procedures

Taken from our Series 51 Online Guide

Written Supervisory Procedures

While the supervisory system determines how the responsibility for regulatory compliance is shared within the firm, the written supervisory procedures document that system and instruct the supervisor as to how those responsibilities must be performed.

Written supervisory procedures must establish procedures to:

• Frequently review and approve customer accounts for compliance with applicable rules

• Periodically inspect each office to detect and pre

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I just took and passed the Series 51 in one attempt. The Solomon materials were excellent. The Solomon simulated tests were very beneficial and were very similar to the actual 51 test. Thanks to Solomon I was well prepared to succeed. When I was taking the actual 51 exam, I did not encounter any surprises that I was not prepared for. Solomon seems to have it very well covered. My method for success? I read the book chapter by chapter, taking the chapter practice tests along the way. I saved the questions I missed for review later. I then went through the book a second time using the same method. After reviewing the questions I had missed on the smaller exams, I started taking the timed simulation for the test. Again, I reviewed the questions I got wrong, making sure I understood the reason for getting it wrong and what the right answer should be. I did this review of missed questions every time I took the simulated exam. I took the simulated exam five or six times, getting scores in the low 80s. This method prepared me to take the real test which I passed on my first attempt. I highly recommend both Solomon and this study method for taking the 51. Good luck all future test takers!!!!

Jason Smith, Primerica, Duluth, GA

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Amber Carrick, Keystone Financial Management, Bath, PA

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Margaret Chen, PFS Investment, Duluth, GA

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Kelli Lanino, Raymond James Financial Riverhead, NY

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Briana Turner, Cambridge Investment Research. Virginia Beach, VA