Series 53: Municipal Securities Dealer Associations

Taken from our Series 53 Online Guide

Municipal Securities Dealer Associations

An association of brokers and dealers, such as FINRA, may not be registered as a national securities association unless the SEC determines that it is meeting the following requirements:

  • It must attempt to prevent fraudulent and manipulative acts and practices.
  • It must promote just and equitable principles of trade.
  • It must attempt to protect investors and the public interest.
  • It must have the ability to en

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