Series 53: 2.2.2.4.5. Municipal Securities Sales Principal (Series 9/10)

Taken from our Series 53 Online Guide

2.2.2.4.5. Municipal Securities Sales Principal (Series 9/10)

Municipal Securities Sales Principals are only allowed to supervise municipal securities sales activities. These activities include supervising:

The handling of accounts and their periodic review

The review and approval of the opening of customer accounts and of customer transactions

The review of written and electronic correspondence

Sales principals are not allowed to supervise the underwriting or

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