Series 53: 2.5.5.6. No Bundling

2.5.5.6. No Bundling

Dealers, municipal advisors, municipal advisor solicitors, MAPs, and MFPs may not coordinate any contributions to an official who can direct advisory business to the firm. This is often called “bundling.” Additionally, the rule states that none of these same entities or people shall solicit any person or PAC to make a contribution or payment to an official who can direct advisory or securities business to the firm.

Sample Question 1

You are working as a Municipal Advisor Representatives and you live in an area that allows you to vote for an official who can direct bus