Series 53: 3.6.16 Rule G-16—Periodic Examination For MSRB Compliance

Taken from our Series 53 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.

+ Read More

More Series 53 Info

What are people saying?

Create an Account

Since you're reading about Series 53: 3.6.16 Rule G-16—Periodic Examination For MSRB Compliance, you might also be interested in:

Series 66 - 3.6.4.8.2. Annuitization Phase for a Non-Qualified Annuity

Series 14 - Exercise

Series 82 - Series 82 Online Guide

Series 66 - Required Minimum Distributions (RMDs)

Series 14 - 2.4. Nasdaq

Series 14 - Exercise

Series 66 - 8.1.4.1 Prospectus Delivery Requirements

Series 22 - Internal Inspections

Series 22 - 1.1.7.2.2. Taxation of Grantor Trusts

Series 24 - Disclosure of Order Execution Information

Series 63 - Administrative Actions

Series 26 - Variable Annuity Regulations

Series 63 - Common Categories of Investment Advisory Fraud

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my Series 53! The study material from Solomon was a tremendous help. Thank you.

Denise S.

I utilized a competitor's product and failed the first time I took the Series 53. It wasn't from the lack of studying. After researching what other courses to buy, I luckily found Solomon. The exam material was up to date and the practice exams were much more challenging than the other program. I would highly recommend Solomon and plan on utilizing them if I should have to take another exam. Thank you.

Andrew Shubert, Craft Capital Management, Garden City, NY

I passed my Series 53!! After using another well known company and not having success; Solomon's study material was accurate, clear, and easily laid out to help understand the sequence of events for Municipals. Would recommend Solomon to anyone! Thanks

Christina Caldwell, Cambridge Investment Research, Kansas City, MO

Jeremy, I just wanted to take a moment to say thank you so much for your wonderful product! Your study guides helped me pass the 7, 66, 24, 52, and 53 all within 2 and a half months. Thank you again!

Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA

Passed 53, Thanks for your help and study materials, study guide and exam simulators were excellent on test preparation for the Series 53. When one applies the time with your materials, a positive outcome can be achieved . Thanks too for answering my question/questions over the weekend.

Tim Milani, Barrington, IL

Passed the 52 and 53 within two months thanks to the clarity of Solomon's materials. Great product!

Jonathan Bowman, Raymond James. Ennice, NC