BD and Muni Advisor Continuing Education

Overview

Employees (or more precisely, associated persons) of broker-dealers and muni advisors are not only required to pass qualifying exams, they are also subject to continuing education requirements. An associated person who does not meet these requirements loses the ability to work, and a broker-dealer that fails to keep track of its associated person's work eligibility status is subject to disciplinary action.

Steven.Lofchie@cwt.com's picture
Contributor Organization 
Contributor Title 
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Contributor Organization 
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Senior Attorney

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