Series 54: 1.3. SEC Guidance On Advice

Taken from our Series 54 Online Guide

1.3. SEC Guidance on Advice

The SEC provides specific guidance on what is not considered advice, and it also offers some guidance on what is considered advice. When a person gives advice to a municipal entity, the person must register as a municipal advisor. When information that is not considered to be advice is given, registration is not required. Here are some examples provided by the SEC.

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