Series 54: Automatic Exemptions

Taken from our Series 54 Online Guide

Automatic Exemptions

Dealers and municipal advisors prohibited from engaging in business under this rule may qualify for an automatic exemption from the rule if the following three requirements are met:

1.The dealer or advisor discovered the triggering political contribution within four months of the date of the co

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Series 54: Automatic Exemptions

Taken from our Series 54 Online Guide

Automatic Exemptions

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