Series 54: “Know Your Client” Requirement

Taken from our Series 54 Online Guide

“Know Your Client” Requirement

This requirement stipulates that non-solicitor municipal advisors must use reasonable diligence to know and maintain so-called “essential facts” regarding the client (issuer) and anyone who acts on behalf of the issuer.

The “essential facts” include any inform

Since you're reading about Series 54: “Know Your Client” Requirement, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 54
Please Enable Javascript
to view this content!