Series 50: Exercise

Taken from our Series 50 Online Guide

Exercise

Match each role with its characteristics.

1._____ Financial advisor

2._____ Pricing consultant

3._____ Investment adviser

4._____ Financial feasibility consultant

5._____ Pension fund advisor

6._____ Market consultant

7._____ Rate consultant

8._____ Placement agent

Characteristics

A.Determines whether there is sufficient demand for a project

B.Writes a fairness letter regarding the fairness of what the underwriter paid the issuer for the issue

C.Solicits a municipality on behalf of another entity

D.Can provide advice to issuer but may not act as und

Since you're reading about Series 50: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 50
Please Enable Javascript
to view this content!