Series 54: 1.6. Exclusions From The Definition Of Municipal Advisor

Taken from our Series 54 Online Guide

1.6. 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 broker-dealer

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