Series 54: Chapter One

Taken from our Series 54 Online Guide

Chapter One

Understanding the Municipal Advisor Regulatory Framework

The first section of this textbook provides a framework for understanding the rules and regulations that you will need to know to successfully perform your job as a municipal advisor principal. The knowledge in this chapter will allow you to perform the following supervisory tasks:

• Apply SEC and MSRB rules to firm activities

• Recognize the entities that must register as municipal adv

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