Series 52: Exercise

Taken from our Series 52 Top Off Online Guide

Exercise

Fill in the blank.

  1. 1. How many years must most records be kept in an easily accessible place? _____
  2. 2. If a broker-dealer’s net capital goes below the required minimum amount, how many days does it have to notify the SEC?
  3. 3. A broker-dealer must notify the S

Since you're reading about Series 52: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 52
Please Enable Javascript
to view this content!