Series 52: 8.2.2.1. SEC Registration

Taken from our Series 52 Online Guide

8.2.2.1. SEC Registration

Before conducting any business or advising clients, brokers and dealers doing business in interstate commerce must register with the SEC, including those who deal in municipal securities. This is required under Section 15 of the Exc

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No other test prep service has questions so similar to the actual exam! Pairing practice questions in the exam simulator with the explanations in the book was definitely helpful in passing the Series 52!

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Questions from the exam simulator were pretty similar to the actual series 52 exam, and I felt prepared with the study guide. I will be purchasing the series 53 study materials from Solomon in the near future.

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Jonathan Bowman, Raymond James. Ennice, NC

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