Series 54: Exercise

Taken from our Series 54 Online Guide

Exercise

Answer the following questions.

1. The two duties provided for by MSRB Rule G-42 are the duty of _____ and the duty of _____.

2. True or false. If a non-solicitor municipal advisor has no conflicts of interest in regard to an issuance of municipal securities, it may take no action in regard to disclosure.

3. True or false. There are some instances in which paying to obtain a munici

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