Series 50: Exercise

Exercise

Match each role with its characteristics

1. 1. _____ Financial advisor
2. 2. _____ Pricing consultant
3. 3. _____ Investment adviser
4. 4. _____ Financial feasibility consultant
5. 5. _____ Pension fund advisor
6. 6. _____ Market consultant
7. 7. _____ Rate consultant
8. 8. _____ Placement agent

Characteristics

1. A. Determines whether there is sufficient demand for a project
2. B. Writes a fairness letter regarding the fairness of what the underwriter paid the issuer for the issue
3. C. Solicits a municipality on behalf of another entity
4. D. Can provide advice to issuer but may not act as underwriter
5. E. Must register as municipal advisor if municipal bond proceeds are segregated from the ot