August Study Question of the Month

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Relevant to the Series 50






Which of the following would be required to register as a municipal advisor?

I.  A broker-dealer providing advice to a municipal advisor rather than directly to the municipality

II.  An underwriter advising a municipality to meet continuing disclosure requirements for a bond issue for which the underwriter is not engaged

III.  A bank encouraging a municipality to take out a direct loan

IV.  An investment adviser providing advice about investing in municipal derivatives

A. I and IV

B. II and III

C. I and III

D. II and IV

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