Series 7: 3.6.10. Rule G-10—Investor And Municipal Advisory Client Education And Protection

Taken from our Series 7 Online Guide

3.6.10. Rule G-10—Investor and Municipal Advisory Client Education and Protection

Municipal advisors must promptly after establishing a municipal advisory relationship or agreeing to undertake a solicitation of a municipal entity, and every year thereafter, provide their municipal advisory clients with the following:

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