Series 7: 3.6.2 Rule G-2—Municipals Broker-Dealers Must Meet MSRB Qualifications

Taken from our Series 7 Top-off Online Guide

3.6.2 Rule G-2—Municipals Broker-Dealers Must Meet MSRB Qualifications

No municipal securities broker-dealer may trade in or induce the trade of any municipal security unless that person and all associated persons of the broker-dealer are qualified in accordance with MSRB rules. Additionally, no municipal advisor shall engage in municipal advisory activities unless the advisor is similarly qualified.

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 3.6.2 Rule G-2—Municipals Broker-Dealers Must Meet MSRB Qualifications, you might also be interested in:

Series 53 - Exercise

Series 66 - Exercise

Series 79 - 2.4.1. Regulation Best Interest

Series 66 - 4.1.3.1.1. Estate Accounts

Series 65 - 2.5 American Depository Receipts (ADRs)

Series 63 - Special Subscription Form

Series 24 - Member Supervisory Controls

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

At Phillips & Co., my job was to hire entry level applicants who could successfully pass the Series 65 and Series 7 examinations in three months and do it the FIRST TIME. After trying Kaplan/Dearborn, STC, and even the Series 7 for Dummies, 85% of our applicants were still having a hard time passing.

One day while expressing my frustration to a colleague, he recommended I look up First Books' Exam Prep. I could tell immediately that this was a unique approach worth the investment. Since we implemented Exam Prep with new recruits our pass rate shot up to well over 90%.

If you or your employees want to pass your exam the first time without falling asleep while studying, I highly recommend you give their training program a try!

Kary Youman, Phillips & Co. Portland, Oregon

Solomon is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

In preparation for the Series 7, I began with Kaplan. I tested and did not pass. I then switched to STC materials. I tested and did not pass. I then switched to Solomon and passed! I also used Solomon for the 63 and passed the first time. I highly recommend Solomon's test preparation materials. The question bank was far more extensive than the others and I definitely felt better prepared using Solomon.

Kara S, CLS, Carrollton, TX

I would not have passed the Series 7 top off without the Solomon materials. The structure of the questions was the closest out of all the programs I tried and their customer support is top notch. I will definitely be back! Thank you!!

Lauren J, Westlake, TX

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

Just passed the Series 7 on the first attempt! Many questions on the FINRA exam forced me to consider scenarios from a different perspective, and the conceptual understanding the Solomon materials and study plan facilitated allowed me to apply my knowledge appropriately. If I need another license in the future, I'll rely on Solomon to help me prepare.

Dave Stakland Cambridge Investment Research Fairfield, IA