Series 54: 1.2.3. Bank Dealers

Taken from our Series 54 Online Guide

1.2.3. Bank Dealers

According to the MSRB, a bank dealer is a municipal securities dealer that is a separately identifiable department or division of a bank engaged in municipal securities dealer activities. Activities of a bank that constitute municipal securities dealer activities include:

• Underwriting, trading, or sales of municipal securities

• Financial advisory or consultant services for issuers in connection with the issuance of municipal securities

• Processing or clearance activities with respect to municipal securities

• R

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