Series 52: 8.3. Supervisory Responsibilities And Procedures

Taken from our Series 52 Online Guide

8.3. Supervisory Responsibilities and Procedures

Under MSRB Rule G-27, municipal broker-dealers are obligated to ensure that their firms and all employees comply with MSRB and SEC rules and all applicable laws. To achieve this result, firms must establish and maintain written procedures as a guide for employee behavior and establish a supervisory system to oversee their compliance.

+ Read More

More Series 52 Info

What are people saying?

Create an Account

Since you're reading about Series 52: 8.3. Supervisory Responsibilities And Procedures, you might also be interested in:

Series 52 - 6.1. Overview of the U.S. Income Tax System

Series 50 - Investment of Proceeds of Municipal Securities and Municipal Escrow Funds

Series 66 - 9.3.4. Prudent Investor Standards

Series 24 - 3.5.5.4. Mutual Fund Prospectus Rules

Series 28 - Securities Haircuts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon adequately prepared me to pass the 52 on my first try. Also, the one time I used the Ask the Professor tool, I received a response promptly. The pre-built study timelines were fantastic, and the ability to access via computer and the iPhone App was crucial. Many thanks to Solomon. I will use you guys again.

Jonathan Bowman Raymond James Ennice, NC

I actually initially failed the Series 52 and was left frustrated with the previous exam prep course that I previously took. I took a look at many of your testimonials and thought I would take a chance on Solomon. I was not disappointed. I passed the Series 52 on the second go, and the test was a breeze due to the preparation of your Series 52 exam prep. I couldn't be happier with Solomon. Onward and upward!

Akio Ohtake-Gordon, Piper Sandler & Co. Lakewood, CO.

I used Solomon for the Series 52 after failing twice with Kaplan and STC. Solomon was immensely more helpful, simpler to understand, and more accurate than both companies combined. The practice questions were very similar to the ones I saw on the exam and the Ask the Professor feature was quick and helpful. I will be using Solomon for the Series 7 in a few months, and I recommend everyone who need to take a FINRA exam to use Solomon before anything else.

Christopher P, Academy Securities. New York, NY.

I failed the Series 52 twice and thought my troubles were with retention, but they were with the practice. I used a competitor's materials and it lacked depth and above all else it lacked a large test bank of questions. With Solomon, I went from feeling unable to fully assess all of the answers on the actual exam, to knowing why an answer was right AS WELL AS knowing why the other 3 answers were wrong. This is an underappreciated aspect of test taking that was only achieved through repetition of different questions. Solomon's large test bank was invaluable and the ability to take practice exams with only the questions you previously got wrong is a fantastic addition.

Justin Ratti, Investment Banking, Charlotte, NC

I had previously used a competitors material while preparing for the Series 52 exam. Using that material I failed the exam twice and both times I felt unprepared even after studying a ton. I switched to Solomon after reading reviews that seemed to be similar to my scenario. I finally passed!! Solomon's material did a great job of simplifying really complex material. The practice exams were very similar to the real exam. While taking the exam for the third time after studying with Solomon I felt confident the entire exam because I knew the information and had seen questions formatted similar while taking practice exams. Thanks Solomon!!!

Sara Brady McGinn FIRM: Raymond James Memphis, TN

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

Jonathan Bowman, Raymond James. Ennice, NC