Series 53: Municipal Securities Sales Principal (Series 9/10)

Taken from our Series 53 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
  • The review of written and electronic correspondence

Sales principals are not allowed to supervise

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