Series 52: Exercise

Taken from our Series 52 Online Guide

Exercise

Fill in the blank.

1. Dealers with access to confidential, nonpublic information concerning the ownership of municipal securities that was obtained in the course of acting in a _____ may not use that information to buy or sell those securities or make use of such information for their financial gain, except with the issuer’s consent.

2. Fair pricing requires a dealer to use diligence in considering both the _____ of a security and the reasonableness of their compensation.

3. A _____, with respect to a municipal security, exists when a broker-dealer controls, is controlled by, or is under common control with the issuer of the security.

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