A municipal securities principal must directly supervise municipal securities operations. This includes reviewing all but one of the following. Which task is NOT involved in directly supervising municipal securities operations?

Question

Quizplus · Accepted Answer

Providing quotations to customers is not directly related to supervising municipal securities operations. A municipal securities principal is responsible for overseeing and approving customer accounts, handling customer complaints, and ensuring that municipal securities transactions are executed properly in accordance with regulations. However, providing quotations to customers is typically the responsibility of a registered representative or broker-dealer.

A Municipal Securities Principal Must Directly Supervise Municipal Securities Operations