Series 54: Disclosure Requirements

Taken from our Series 54 Online Guide

Disclosure Requirements

To monitor compliance with the rule, the MSRB requires dealers and advisors to submit quarterly statements reporting all of their political contributions for the previous quarter, whether made by MFPs, MAPs, or non-MFP executives or non-MAP executives. They must also list all the issuers with

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Mark Melio, Melio & Company, LLC. Northfield, IL

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