Series 53

Series #53 - Municipal Securities Principal

About The Series #53 Examination

COURSE SCHEDULE   FINRA EXAM OUTLINE

The Series 53 This examination is designed to test a candidate's knowledge of the rules and statutory provisions applicable to a municipal securities broker or dealer and to the supervision of the activities of municipal securities representatives.  This exam also enables the principal to supervise municipal fund securities (e.g., 529 College Savings Plans, Local Government Investment Pools (LGIPs)). The exam consists of 100 multiple choice questions; 3 hours testing time.

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