Series 54: Circumvention Of The Rule

Taken from our Series 54 Online Guide

Circumvention of the Rule

Dealers, municipal advisors, and their associated persons are prohibited from directly engaging in any of the prohibited activities listed in the rule, but they are also prohibited from engaging in the activities indirectly through another person. For example, they may not do

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Series 54: Circumvention Of The Rule

Taken from our Series 54 Online Guide

Circumvention of the Rule

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