Series 54: The Appropriate Regulatory Agency

Taken from our Series 54 Online Guide

The Appropriate Regulatory Agency

For municipal advisors, the “appropriate regulatory agency” is the SEC. This means that the SEC will be the enforcement agency for all MSRB rules and securities laws that apply to municipal advisors.

MSRB Rule D-14

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The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

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