Series 54: 2.2.2.7. “Know Your Client” Requirement

Taken from our Series 54 Online Guide

2.2.2.7. “Know Your Client” Requirement

This requirement stipulates that non-solicitor municipal advisors must use reasonable diligence to know and maintain so-called “essential facts” regarding the client (issuer) and anyone who acts on behalf of the issuer.

The “essential facts” include any information th

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