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 54 - Chapter Two Practice Question Answers

SIE - 6.1.2.1. The Securities Act of 1933

Series 24 - Auction Bids and Offers

Series 79 - Stock Volatility and Beta

Series 65 - 7.1.5.1.4. Stop-Limit Orders

Series 52 - Rule G-48—Transactions with Sophisticated Municipal Market Professionals

Series 6 - 4.1.1.2.7. Transfer Rights

Series 24 - Margin Account Deposits

Series 66 - Exemptions to Issuer and Security Registration

Series 26 - Organization and Purpose of SIPC

Series 50 - Enforcement of MSRB Rules

Series 65 - 9.1.5. Offers, Sales, and Other Transactions

Series 50 - Bank Loans, Placement Agents, and Financial Advisors

Series 53 - Rule G-11—Primary Offering Practices

Series 51 - Chapter 4 Practice Question Answers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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!

Abhishek Gosavi, MassMutual, Springfield, MA

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 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

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.

Del Martin, Packerland Brokerage Services. Green Bay, WI

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.

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

Jonathan Bowman, Raymond James. Ennice, NC