Series 50: Municipal Securities Sales Principal (Series 9/10)

Taken from our Series 50 Online Guide

Municipal Securities Sales Principal (Series 9/10)

Municipal Securities Sales Principals are only allowed to supervise municipal securities sales activities. These activities include supervising the handling of accounts and their periodic review, the review and approval of the opening of customer accounts and of customer transactions, and the review of written and electronic correspondence. Sales principals a

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J. Mark Chapman, IBIC LLC, Madison, CT