Series 51: Disclosure Requirements

Taken from our Series 51 Online Guide

Disclosure Requirements

To monitor compliance with the “pay to play” rule, the MSRB requires broker-dealers to submit quarterly statements reporting all of their political contributions for the previous quarter, whether made by MFPs or otherwise. They must also list all the issuers with whom they e

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I loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.

Katrina Jackson, Cambridge Investment Research, Fairfield, IA

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