Series 54: Chapter Three

Taken from our Series 54 Online Guide

Chapter Three

Supervising Municipal Advisor Firm Operations

This chapter focuses on the knowledge you will need to supervise the operations of a municipal advisor. The chapter begins with a discussion of registration requirements and then moves on to the supervision of firm activities. By the end of this chapter, you should be familiar with the following requirements needed to supervise the activities of a municipal advisor.

Registration requirements:

Register the municipal advisor with the SEC, MSRB and states.

Educate associated persons and other employees on the application of rules to municipal advisory business (e.g., annual compliance training).

Identify and provide information on each

Since you're reading about Series 54: Chapter Three, you might also be interested in:

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