Series 54: Exercise

Taken from our Series 54 Online Guide

Exercise

Answer the following questions.

1. The two duties provided for by MSRB Rule G-42 are the duty of _____ and the duty of _____.

2. True or false. If a non-solicitor municipal advisor has no conflicts of interest in regard to an issuance of municipal securities, it may take no action in regard to disclosure.

3. True or false. T

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