Series 7: 3.6.4. Rule G-4—Statutory Disqualifications

Taken from our Series 7 Online Guide

3.6.4. Rule G-4—Statutory Disqualifications

Municipal securities broker-dealers who have been expelled or suspended from membership in a national securities exchange or securities association or barred or suspended from associating with a member of an exchange or association because of conduct inconsistent with just and equitable principles of trade will not meet MSRB qualifications.

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At Phillips & Co., my job was to hire entry level applicants who could successfully pass the Series 65 and Series 7 examinations in three months and do it the FIRST TIME. After trying Kaplan/Dearborn, STC, and even the Series 7 for Dummies, 85% of our applicants were still having a hard time passing.

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