Series 53: 3.1.3.4. Disclosure Requirements For Control Relationships

Taken from our Series 53 Online Guide

3.1.3.4. Disclosure Requirements for Control Relationships

A control relationship, with respect to a municipal security, exists when a broker-dealer controls, is controlled by, or is under common control with the issuer of the security. Someone who controls a company that has the power to influence or direct its policies and management. Perhaps an elected official wo

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