Series 51: Exercise

Taken from our Series 51 Online Guide

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

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I am still so giddy that I passed my Series 7 on 1/31. I truly cannot believe it. I took the 7 three times in 2019 utilizing Kaplan study materials and didn't feel good going into the tests any of the times. So shockingly I failed all three times by a lot. My highest score was a 68%. I used Solomon for my 51 in September (passed on the first try) so I thought I could try it for my 7 even though it is the hardest securities test I have taken. I felt so good going into the testing center and I passed!!! I am so grateful to have found your materials. They have been incredibly helpful and I am able to understand all the material covered in the books. I still am in shock that I passed. Now off to the 24!

Briana Turner, Cambridge Investment Research. Virginia Beach, VA

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

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Jason Smith, Primerica, Duluth, GA

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Michael

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Margaret Chen, PFS Investment, Duluth, GA