Who is considered a municipal finance professional?
To determine if a particular person is a municipal finance professional, first determine whether the person is an “associated person” of a dealer (other than a bank dealer) under Section 3(a)(18) of the Securities Exchange Act of 1934 (Act), or an associated person of a bank dealer under Section 3(a)(32) of the Act. Then determine whether the associated person fits within one of the four categories listed in the definition of municipal finance professional under Rule G-37.
Related Questions
- Does the definition of municipal finance professional include anyone other than an associated person of the dealer, for example, consultants, lawyers or spouses of municipal finance professionals?
- Is a municipal finance professional prohibited from performing volunteer work on an issuer officials behalf?
- Does the definition of municipal finance professional include all registered representatives?
