Series 51: Exercise

Taken from our Series 51 Online Guide

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Exercise

Fill in the blank

1. The SEC and the other governing regulatory agencies have the power to censure or suspend a municipal securities dealer for a period up to _____ or to revoke their registration for committing a prohibited act if regulators determine it is in the public interest.
2. The _____ violation of any provision of the Securities Act, Exchange Act, Investment Company Act, Investment Advisers Act, or any MSRB rules could result in suspension or revocation of a municipal securities dealer’s registration.
3. _____ can also face penalties for failing to properly supervise the activities of an associated person who e

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Amber Carrick, Keystone Financial Management, Bath, PA