Series 51: 3.6.5 Rule G-5—Transactions Must Conform To MSRB And Other Agency Rules

Taken from our Series 51 Online Guide

3.6.5 G-5—Transactions Must Conform to MSRB and Other Agency Rules

Broker-dealers and municipal advisors are prohibited from trading or offering advice with respect to any transaction that violates restrictions imposed by the MSRB or any other regulatory agency or association.

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