This course provides the representative with the requirements and guidelines for suitability, disclosures, pricing, supervision, fair dealing, and standards of conduct.

Upon completion of this course, students will be able to:

• understand registration requirements for municipal advisors
• understand standards of conduct required of municipal advisors
• understand suitability obligations of municipal advisors
• understand required disclosures for municipal advisors
• understand rules regarding gifts, gratuities, and non-cash compensation
• understand pay-to-play restrictions
• understand supervisory obligations of municipal advisors

Retail Representatives