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Which of the following disclosures is a municipal securities dealer required to provide its customers...

Which of the following disclosures is a municipal securities dealer required to provide its customers once every calendar year?

A.

The firm's address

B.

The firm's financial standing

C.

FINRA violations of all registered representatives

D.

The location and availability of the MSRB investor brochure

FINRA SIE Summary

  • Vendor: FINRA
  • Product: SIE
  • Update on: Feb 18, 2026
  • Questions: 266
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