Series 7: 3.6.4 Rule G-4—Statutory Disqualifications

Taken from our Series 7 Top-off Online Guide

3.6.4  Rule G-4—Statutory Disqualifications

Municipal securities broker-dealers who have been expelled or suspended from membership in a national securities exchange or securities association or barred or suspended from associating with a member of an exchange or association because of conduct inconsistent with just and equitable principles of trade will not meet MSRB qualifications.

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