Series 51: 3.6.16 Rule G-16—Periodic Examination For MSRB Compliance

Taken from our Series 51 Online Guide

3.6.16 Rule G-16—Periodic Examination for MSRB Compliance

At least once every four years, each broker-dealer that is a FINRA member will be examined by FINRA to evaluate its compliance with MSRB rules, the applicable provisions of the Securities Exchange Act of 1934, and SEC rules and regulations. Recall that the MSRB is not an enforcement agency. It only makes the rules.

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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!!!!

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