Series 14: 5.2.4.3. Solicitation Of Municipal Securities Business

Taken from our Series 14 Online Guide

5.2.4.3. Solicitation of Municipal Securities Business

No broker-dealer may pay any person to solicit municipal securities business on its behalf who is not an affiliated person of the firm. An affiliated person means anyone who is a partner, director, officer, employee, or registered person of the broker-dealer.

MSRB Rule G-38

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