Series 53: 2.5.5.9. Disclosure Requirements

Taken from our Series 53 Online Guide

2.5.5.9. Disclosure Requirements

To monitor compliance with the rule, the MSRB requires dealers and advisors to submit quarterly statements reporting all of their political contributions for the previous quarter, whether made by MFPs, MAPs, or otherwise. They must also list all the issuers with whom they engaged in mun

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