Series 51: Exercise

Taken from our Series 51 Online Guide

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Exercise

Answer true or false

1. True or false: The SEC prohibits dealers from buying or selling any municipal security for which they did not receive an official statement and a pledge of continuing disclosure.
2. True or false: For municipal securities that are not municipal fund securities, the underwriter has a commitment to continue to provide amendments to the official statement for the life of the security.
3. True or false: Underwriters are required to review the issuer’s disclosure documents in a professional manner for possible inaccuracies and omissions only for negotiated underwritings.
4. True or false: The preliminary official statement is a draft for underwriters to review before the final official statement is prepared.
5. True or false: The continuing disclosure agr

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