SIE Exam Dumps | Which of the following disclosures is a municipal securities dealer required to provide its customers

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FINRA.SIE.v2025-09-26.q80
Question 10

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Question 10/80

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

Correct Answer: D

Step by Step Explanation:
* MSRB Rule G-10: Requires municipal securities dealers to notify customers annually about the availability of the MSRB investor brochure, which explains investor protections and complaint filing procedures.
* Incorrect Options:
* A and B: Address and financial standing are not specifically required disclosures.
* C: FINRA violations are not a required disclosure under MSRB rules.
References:
* MSRB Rule G-10 (Investor Brochure Requirement): MSRB Rule G-10.

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