Series 7: 3.6.3 Rule G-3—MSRB Qualification Rules

Taken from our Series 7 Top-off Online Guide

3.6.3 Rule G-3—MSRB Qualification Rules

This rule defines the categories of principal, Limited Principal, Sales Principal, Financial and Operations Principal, and representative. These personnel must pass their appropriate municipal securities qualification examinations to practice their trade. If they fail the examinations, they may retake them after 30 days. If they fail mo

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