Series 51: Exercise

Taken from our Series 51 Online Guide

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Exercise

Answer true or false

1. True or false: Dealers are required to submit quarterly statements to the MSRB that disclose all of the dealer’s political contributions.
2. True or false: Municipal securities business in the context of the “pay to play” rule (MSRB Rule G-37) includes selling municipal securities to customers in the secondary market.
3. True or false: The “pay to play” rule has two main components: a prohibition on engaging in municipal securities business after certain political contributions are made

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