Series 53 Practice Questions - Municipal Securities Principal Qualification Examination Exam

Under MSRB Rule D-8, which of the following entities would be considered a "bank dealer"?

A registered investment adviser that trades municipal securities for its clients A national bank that buys and sells municipal securities for its own account A municipal advisor that provides advice on municipal securities issuances A credit union that sells municipal securities to its members on an agency basis

Correct Answer:

A national bank that buys and sells municipal securities for its own account

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