Series 53: 3.2.4.2. Review By A Principal

Taken from our Series 53 Online Guide

3.2.4.2. Review by a Principal

A process for the review of customer complaints must be included in the written supervisory procedures. The written supervisory procedures must designate an appropriate principal to review customer complaints concerning municipal securities activities.

MSRB Rule G-27(c)(2)

+ Read More

More Series 53 Info

What are people saying?

Create an Account

Since you're reading about Series 53: 3.2.4.2. Review By A Principal, you might also be interested in:

Series 79 - Filing Preliminary and Definitive Proxy Statements: Exchange Act Rule 14a-6

Series 54 - 3.1.7. Registration of Associated Persons and Form MA-I

Series 52 - 8.4.2.3.8. Form CRS

Series 65 - 2.3.3.1. Value at Issuance

Series 63 - Recommending Securities the Professional Trades In

Series 22 - Suitability Account Records

Series 79 - Regulations Covering Private Placement Offerings

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my Series 53! The study material from Solomon was a tremendous help. Thank you.

Denise S.

I passed my Series 53!! After using another well known company and not having success; Solomon's study material was accurate, clear, and easily laid out to help understand the sequence of events for Municipals. Would recommend Solomon to anyone! Thanks

Christina Caldwell, Cambridge Investment Research, Kansas City, MO

I utilized a competitor's product and failed the first time I took the Series 53. It wasn't from the lack of studying. After researching what other courses to buy, I luckily found Solomon. The exam material was up to date and the practice exams were much more challenging than the other program. I would highly recommend Solomon and plan on utilizing them if I should have to take another exam. Thank you.

Andrew Shubert, Craft Capital Management, Garden City, NY

Passed the 52 and 53 within two months thanks to the clarity of Solomon's materials. Great product!

Jonathan Bowman, Raymond James. Ennice, NC

Passed 53, Thanks for your help and study materials, study guide and exam simulators were excellent on test preparation for the Series 53. When one applies the time with your materials, a positive outcome can be achieved . Thanks too for answering my question/questions over the weekend.

Tim Milani, Barrington, IL

Jeremy, I just wanted to take a moment to say thank you so much for your wonderful product! Your study guides helped me pass the 7, 66, 24, 52, and 53 all within 2 and a half months. Thank you again!

Christopher Kriak, Compliance Analyst, PNC Investments, Pittsburgh, PA