Series 51: Internal Inspections

Taken from our Series 51 Online Guide

Internal Inspections

Broker-dealers must conduct annual internal inspections at every OSJ and every Branch Office that supervises a non-branch office to ensure compliance with securities laws. Other branch offices must be inspected every three years. Inspections must include a review of customer account records to detect irregularities or abuses. They must also test and verify the member’s policies and procedures with regard to safeguarding customer funds and

+ Read More

More Series 51 Info

What are people saying?

Create an Account

Since you're reading about Series 51: Internal Inspections, you might also be interested in:

Series 66 - 9.4.16.5. Ban on Certain Third-Party Solicitors

Series 14 - 7.2.1.7. Mandatory Inspection of a New Broker-Dealer

Series 79 - Calculating Important Financial Information

Series 27 - Short Sales and Regulation SHO

Series 79 - 11.2.2.2. Merger Structures

Series 65 - Conversion Ratios

Series 63 - Blanket Recommendations

Series 66 - Registration of Investment Adviser Representatives

Series 7 - Exercise

Series 7 - 3.6.32. Rule G-33—Accrued Interest Calculations

Series 24 - 4.1.3.6. Trust Accounts

Series 7 - 5.3.3.2 Credit Call Spread

Series 66 - Fiduciary Accounts

Series 14 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Using Solomon was very helpful. The exam simulator tests were great, but I should have spent a little more time re-reading the chapters. Passed (Series 51) on my first try.

Kelli Lanino, Raymond James Financial Riverhead, NY

I loved the online testing for the Series 51! I felt like the questions were trickier so it really prepared me for the real exam.

Katrina Jackson, Cambridge Investment Research, Fairfield, IA

Thank you so much for the easy reading! I passed the 51 on my first attempt!!

Amber Carrick, Keystone Financial Management, Bath, PA

Solomon's materials were far superior to some of the competitors.

Michael

I just took and passed the Series 51 in one attempt. The Solomon materials were excellent. The Solomon simulated tests were very beneficial and were very similar to the actual 51 test. Thanks to Solomon I was well prepared to succeed. When I was taking the actual 51 exam, I did not encounter any surprises that I was not prepared for. Solomon seems to have it very well covered. My method for success? I read the book chapter by chapter, taking the chapter practice tests along the way. I saved the questions I missed for review later. I then went through the book a second time using the same method. After reviewing the questions I had missed on the smaller exams, I started taking the timed simulation for the test. Again, I reviewed the questions I got wrong, making sure I understood the reason for getting it wrong and what the right answer should be. I did this review of missed questions every time I took the simulated exam. I took the simulated exam five or six times, getting scores in the low 80s. This method prepared me to take the real test which I passed on my first attempt. I highly recommend both Solomon and this study method for taking the 51. Good luck all future test takers!!!!

Jason Smith, Primerica, Duluth, GA