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Series 53 - Municipal Securities Principal Practice Exam 10

Practice exam for Series 53 - Municipal Securities Principal.

Active sessionSeries 53 - Municipal Securities Principal practice testSeries 53 - Municipal Securities Principal practice examSeries 53 - Municipal Securities Principal mock testSeries 53 - Municipal Securities Principal mock examSeries 53 - Municipal Securities Principal practice questions+3

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Question 1 of 1000%

Time remaining120:00

Attempts allowedUnlimited

Difficulty mixE • M • H

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Question 1

EASY

120:00

A municipal securities principal is reviewing a draft retail advertisement for a municipal bond fund. Which action best satisfies the principal’s supervisory obligation before first use?

Principals must approve municipal securities communications prior to first use and maintain evidence of approval as part of required books and records.

Select one answer

Approve the advertisement in writing and retain the approval record

Forward the advertisement to MSRB for pre-use approval

Approve the advertisement only after it has run for 30 days without complaints

Approve the advertisement verbally if it is distributed only to existing customers

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Series 53 - Municipal Securities Principal Practice Exam 10

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