Series 50: “Know Your Client” Requirement

Taken from our Series 50 Online Guide

“Know Your Client” Requirement

As of this writing the MSRB has proposed a “know your client” requirement regarding the due diligence of municipal advisors.

The requirement stipulates that the municipal advisor must use reasonable diligence to know and maintain the “essential facts” regarding the client (issuer) and anyone who acts on behalf of th

Since you're reading about Series 50: “Know Your Client” Requirement, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 50
Please Enable Javascript
to view this content!