Series 53: 1.1.9. Compliance Examinations

Taken from our Series 53 Online Guide

1.1.9. Compliance Examinations

Municipal broker-dealers are required to pass a compliance examination periodically to certify compliance with applicable rules and laws. The exam is designed to protect the public interest, investors, and municipal entities by ensuring compliance with MSRB and SEC rules and with relevant provisions of the Exchange Act.

Under the 1934 Act, the exam may be administered by a registered securities association f

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