The Municipal Advisor

Overview

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

Find this course for your license

License or Certification

Regulator

Objectives

Understand registration requirements for municipal advisors
Understand standards of conduct required and 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

Designed For:

Retail Representatives

Course Information

Adding additional credit may change exam requirements.

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