Series 51: Prohibited Uses Of Proprietary Information By Fiduciaries

Taken from our Series 51 Online Guide

Prohibited Uses of Proprietary Information by Fiduciaries

When dealers act in a fiduciary capacity, they often receive access to confidential, nonpublic information about the ownership of municipal securities. Under MSRB Rule G-24, dealers may not use that information for financial gain or to solicit sales of securities, except with the issuer’s consent.

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Thank you so much for the easy reading! I passed the 51 on my first attempt!!

Amber Carrick, Keystone Financial Management, Bath, PA

I loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.

Katrina Jackson, Cambridge Investment Research, Fairfield, IA

Using Solomon was very helpful. The exam simulator tests were great, but I should have spent a little more time re-reading the chapters. Passed (Series 51) on my first try.

Kelli Lanino, Raymond James Financial Riverhead, NY

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Margaret Chen, PFS Investment, Duluth, GA

I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

Briana Turner, Cambridge Investment Research. Virginia Beach, VA