Series 52: 8.4.2.2.5. Time Of Trade

Taken from our Series 52 Top Off Online Guide

8.4.2.2.5. Time of Trade

Broker-dealers may not sell a municipal security to a customer or purchase a municipal security from a customer without disclosing all material information they know about the transaction and all material information about the security that is reasonably accessible to the market through established industry sources.

It doesn’t matter whether the broker-dealer

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