Series 54: 3.1.4. Municipal Advisor Activities

Taken from our Series 54 Online Guide

3.1.4. Municipal Advisor Activities

Recall that the term municipal advisor is defined as a person who is not a municipal entity or an employee of a municipal entity that:

• Provides advice to or on behalf of a municipal entity or obligated person with respect to municipal financial products or the issuance of municipal securities, including advice with respect to the structure, timing, terms, and other similar matters concerning such financial products or municipal issues

• Undertakes a solicitation of a municipal entity

The definition of municipal advisor includes financial advisors, guaranteed investment

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