Series 54: 1.5.1. Natural Persons That Are Employed By A Municipal Advisor

Taken from our Series 54 Online Guide

1.5.1. Natural Persons that Are Employed by a Municipal Advisor

Natural persons are exempt from registering as municipal advisors as long as they engage only in municipal advisory activities on behalf of a municipal advisor employer or are an associated person of the advisor. If the natural person is a sole proprietor, he must register as a municipal advisor.

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