Series 7: 3.6.37 Rule G-38—Solicitation Of Municipal Securities Business

Taken from our Series 7 Top-off Online Guide

3.6.37 Rule G-38—Solicitation of Municipal Securities Business

No broker-dealer may pay any person to solicit municipal securities business on its behalf who is not an affiliated person of the firm. An affiliated person means anyone who is a partner, director, officer, employee, or registered person of the broker-dealer.

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