Series 7: 3.6.10 Rule G-10—Customer Complaints And Delivery Of Investment Brochure

Taken from our Series 7 Top-off Online Guide

3.6.10  Rule G-10—Investor and Municipal Advisory Client Education Program

Municipal advisors must promptly after establishing a municipal advisory relationship or agreeing to undertake a solicitation of a municipal entity, and every year thereafter, provide their muni

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