Series 53: Exercise

Taken from our Series 53 Online Guide

Exercise

Fill in the blank.

1. Two exceptions to those that must register as municipal securities dealers include: those that buy or sell municipal securities for their own account, but not as part of a regular business, and _____.

2. A separate division or department of a bank engaged in the business of buying and selling municipal securities for their own accounts is referred to as a _____.

3. The _____ regulates the secondary market for securities and requir

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