Series 51: Exercise

Taken from our Series 51 Online Guide

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Exercise

Answer true or false

1. True or false: A dealer’s duty to deal fairly requires underwriters to make certain disclosures to the issuers of municipal securities.
2. True or false: For 529 plans, brokers are required to give their customers an official statement by the completion of the transaction.
3. True or false: In the sale of a municipal fund security, the underwriter may satisfy its obligation to deliver the final official statement to a customer by submitting it to the EMMA website and advising the customer how to locate the document on EMMA and promising to deliv

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Katrina Jackson, Cambridge Investment Research, Fairfield, IA

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!

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Michael

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Jason Smith, Primerica, Duluth, GA