Series 54: Bank Dealers

Taken from our Series 54 Online Guide

Bank Dealers

According to the MSRB, a bank dealer is a municipal securities dealer that is a bank or a separately identifiable department or division of a bank engaged in municipal securities dealer activities. Activities of a bank that constitute municipal securities dealer activities include:

•Underwriting, trading, or sales of municipal securities

•Financial advisory or consultant services for issuers in connection with the issuance of municipal securities

•Processing or clearance activities with respect to municipal securi

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