Series 51: Rule G-27—Supervisory Procedures

Taken from our Series 51 Online Guide

Rule G-27—Supervisory Procedures

Broker-dealers must ensure that employees comply with MSRB and SEC rules. To achieve this result, firms must establish and maintain written procedures as a guide for employee behavior. Firms must also establish a supervisory system to oversee their compliance. Each firm

+ Read More

More Series 51 Info

What are people saying?

Create an Account

Since you're reading about Series 51: Rule G-27—Supervisory Procedures, you might also be interested in:

Series 7 - 3.6.15. Rule G-15—More Uniform Practices for Confirmation, Clearance, and Settlement

Series 63 - Special Subscription Form

Series 65 - Uniform Gift to Minors Act (UGMA) and Uniform Transfer to Minors Act (UTMA) Accounts

Series 82 - 3.2.2.3.1. Value at Issuance

Series 65 -

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon's materials were far superior to some of the competitors.

Michael

I just passed the S51 with an 86%. I want to express my sincere thanks to Solomon. I love the way you structure your practice exams. I always enjoy receiving speedy responses from Ask the Professor, especially from Karen. Karen, thank you for all your help, you are the best!!!!!!!

Margaret Chen, PFS Investment, Duluth, GA

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

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!

Briana Turner, Cambridge Investment Research. Virginia Beach, VA

Thank you so much for the easy reading! I passed the 51 on my first attempt!!

Amber Carrick, Keystone Financial Management, Bath, PA