Series 53: 2.5.6.1. Approval By Principal

Taken from our Series 53 Online Guide

2.5.6.1. Approval by Principal

All advertisements must be approved in writing by a Municipal Securities or General Securities Principal prior to first use. Broker-dealers must make records of all advertisements, keep them current, and keep them in a separate advertising file. Municipal securities advertisements do not need to be filed with the MSRB.

Since you're reading about Series 53: 2.5.6.1. Approval By Principal, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 53
Please Enable Javascript
to view this content!