Series 54: Exercise

Taken from our Series 54 Online Guide

Exercise

Answer true or false.

1.True or false. Dealers and advisors are required to submit quarterly statements to the MSRB that disclose all of the dealer’s or advisor’s political contributions.

2.True or false. Municipal securities business in the context of the pay to play rule (MSRB Rule G-37) includes selling municipal securities to customers in the secondary market.

3.True or false. The pay to play rule has two main components: a prohibition on engaging in municipal securities business or

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