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SEC publishes order related to municipal adviser registration

  • SEC document Image

Aug 19, 2015

The SEC has issued an order that applies to municipal adviser registration.

Specifically, the order directs the Financial Industry Regulatory Authority to “administer professional qualification tests for associated persons of registered municipal advisors who engage in municipal advisory activities or engage in the management, direction or supervision of municipal advisory activities, pursuant to the Commission’s authority.”

The order became effective on August 17, 2015. For more information, see the order on the SEC’s Web site.

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