Series 54: No Bundling

Taken from our Series 54 Online Guide

No Bundling

Dealers, municipal advisors, municipal advisor solicitors, MAPs, and MFPs may not coordinate any contributions to an official who can direct advisory business to the firm. This is often called “bundling.” Additionally, the rule states that none of these same entities or people shall solicit any person or PAC to make a contribution or payment to an official who can direct advisory or securities business to the firm.

Example Question 1

You are working as a Municipal Advisor Representative and you live in an area that allows you to vote for an official who can direct business to your firm. You go door to door

+ Read More

More Series 54 Info

What are people saying?

Create an Account

Since you're reading about Series 54: No Bundling, you might also be interested in:

Series 66 - Preferred Dividends

Series 26 - Change of Ownership or Control, Material Change in Business Operation

Series 65 - Prohibited Transactions

Series 7 - 18.1.2. Securities Exchange Act of 1934

Series 7 - Exercise

Series 63 - 3.3.3. Other Penalties and Liabilities

Series 6 - 6.3.3.4. Considered a Security

Series 50 - Estimating Prepayment Risk

Series 51 - Compliance with Bank Secrecy Act

Series 26 - Alternative Net Capital Requirement

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

Mark Melio, Melio & Company, LLC. Northfield, IL

Thanks for your help. I passed my Series 6 test! Couldn't have done it without Solomon Exam Prep study materials.

Joshua J. Parsons, Redbud Financial Group, Oklahoma City, Oklahoma

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

I sat for the Series 99 and passed on my first attempt! I am thankful for the Solomon Exam preparation. The four-week study schedule was a life saver. I recommend using the Solomon products to prepare for any Series exam.

Cachet Johnson, PNC, Cleveland, OH

I passed the 79 and 63 - both on the first attempt - thanks to Solomon Exam Prep. The quiz/simulator questions were very similar to the actual exam. Additionally, I was impressed by how quickly I received responses when I used the "Ask the Professor" feature.

Alexander W, IL

Karen- I passed the Series 66! I cannot even begin to say thank you enough times. I continue to be impressed and amazed by your program.

Sarah Boone, Wells Fargo, Atlanta, GA