Series 7: 3.6.2 Rule G-2—Municipals Broker-Dealers Must Meet MSRB Qualifications

Taken from our Series 7 Top-off Online Guide

3.6.2 Rule G-2—Municipals Broker-Dealers Must Meet MSRB Qualifications

No municipal securities broker-dealer may trade in or induce the trade of any municipal security unless that person and all associated persons of the broker-dealer are qualified in accordance with MSRB rules. Additionally, no municipal advisor shall engage in municipal advisory activities unless the advisor is similarly qualified.

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