SIE: Exercise

Taken from our SIE Online Guide

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Exercise

Answer true or false.

1. _____ Broker-dealers are required to submit quarterly statements to the MSRB that disclose all of the broker-dealer’s political contributions.
2. _____ Municipal securities business in the context of the pay to play rule (MSRB Rule G-37) includes selling municipal securities to customers in the secondary market.
3. _____ The pay to play rule has two main components: a prohibition on engaging in municipal securities business after certain political contributions are made and a disclosure requirement.
4. _____ The pay t

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