municipal securities

Which Of The Following Employees Of A Municipal Securities Firm Are Considered Municipal Finance Professionals That Are Subject To Political Contribution Rules Under MSRB Rule G 37?

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Which Of The Following Employees Of A Municipal Securities Firm Are Considered Municipal Finance Professionals That Are Subject To Political Contribution Rules Under MSRB Rule G 37? The registered representative is considered to be a Municipal Finance Professional and is subject to the political contribution rule. Who is a municipal finance professional? What does Municipal

Who Enforces MSRB?

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Who Enforces MSRB? The SEC maintains oversight for the MSRB and enforces MSRB rules. The MSRB is not authorized to regulate municipal bond issuers directly. Which entity enforces MSRB rules that pertain to NYSE member firms? Explanation: While the MSRB has rulemaking authority, it has no authority to enforce those rules. The enforcement of the

Who Enforces MSRB Rules For Banks?

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Who Enforces MSRB Rules For Banks? The SEC maintains oversight for the MSRB and enforces MSRB rules. The MSRB is not authorized to regulate municipal bond issuers directly. Who enforces MSRB? FINRA is responsible for examining FINRA members that are municipal securities dealers or municipal advisors and for enforcing MSRB rules. In addition, FINRA administers