Series 54: Exclusions From The Definition Of Municipal Advisor

Taken from our Series 54 Online Guide

Exclusions from the Definition of Municipal Advisor

Municipal advisors include financial advisors, guaranteed investment contract (GIC) brokers, third party marketers, placement agents, solicitors, and finders. But several entities that interact with municipal entities are excluded from the definition of municipal advisor. These include:

•Municipal securities bro

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Series 54: Exclusions From The Definition Of Municipal Advisor

Taken from our Series 54 Online Guide

Exclusions from the Definition of Municipal Advisor

Since you're reading about Series 54: Exclusions From The Definition Of Municipal Advisor, you might also be interested in:

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