Series 54: 3.2.5.2. Ban On Business

Taken from our Series 54 Online Guide

3.2.5.2. Ban on Business

A contribution will trigger a ban on municipal advisory business of a municipal advisor with a municipal entity if the contribution was made by any of the following:

• Municipal advisor

• Municipal advisor professional (MAP)

• Political action committee (PAC) that is controlled by either the municipal advisor or an MAP of the municipal advisor

• Municipal advisor third-party solicitor or one of its MAPs or PACs (and the firm was engaged by a municipal advisor to solicit municipal advisory business)

Municipal advisory business includes any activities that would require a person to be registered as a municipal advisor. This includes giving advice on the issuing of municipal securities and soliciting municipal entities and their obligated persons.

A contribution will trigger a ban on municipal securities business with a municipal entity if the contribution was made by any of the following:

• Municipal securities dealers (including broker and dealers)

• Municipal finance professional (MFP)

• PAC that is controlled by either the municipal securities dealer or an MFP of the municipal securities dealer

• Municipal advisor third-party solicitor or one of its MAPs or PACs (and the firm was engaged by a municipal securities dealer to solicit municipal securities business)

Municipal securities business in this

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