Series 53: 2.5.6.1. Approval By Principal

Taken from our Series 53 Online Guide

2.5.6.1. Approval by Principal

All advertisements must be approved in writing by a Municipal Securities or General Securities Principal prior to first use. Broker-dealers must make records of all advertisements, keep them current, and keep them in a separate advertising file. Municipal securities advertisements do not need to be filed with the MSRB.

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