Series 54: 3.1.5. The Appropriate Regulatory Agency

Taken from our Series 54 Online Guide

3.1.5. The Appropriate Regulatory Agency

For municipal advisors, the “appropriate regulatory agency” is the SEC. This means that the SEC will be the enforcement agency for all MSRB rules and securities laws that apply to municipal advisors.

MSRB Rule D-14

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Series 54: 3.1.5. The Appropriate Regulatory Agency

Taken from our Series 54 Online Guide

3.1.5. The Appropriate Regulatory Agency

Since you're reading about Series 54: 3.1.5. The Appropriate Regulatory Agency, you might also be interested in:

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