Series 51: Supervisory Control Procedures

Taken from our Series 51 Online Guide

Supervisory Control Procedures

The written supervisory controls must include policy and procedures designed to:

• Review and supervise customer account activity conducted by the firm’s producing managers. This responsibility must be performed by a person who is either senior to or independent of the producing manager and who is situated in a separate office. If the firm is so small that it has no qualified senior manager to perform these duties, supervision and reviews may be conducted by some other knowledgeable principal. However, the firm must notify FINRA within 30 days of implementing this exception (and annually t

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I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

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