In accordance with the Dodd-Frank Act, what specific governance obligations must be met by a Non-Solicitor Municipal Advisor?

A) Annual General Meeting Attendance, Tax Filing, Employee Training, Compliance with SEC rules, Financial Reporting

B) Risk Management, Compliance with IRS rules, Financial Auditing, Employee Benefits, Record Keeping

C) Registration, Fiduciary Duties, Compliance with MSRB rules, Compliance Program, Record Keeping

D) Compliance with FTC rules, Financial Analysis, Employee Recruitment, Annual Report Publication, Record Keeping

Select an option above to see an explanation here.

A) While these are important aspects of business operations, they are not specific governance obligations for a Non-Solicitor Municipal Advisor under the Dodd-Frank Act. B) These are general business practices and not specific to the governance obligations of a Non-Solicitor Municipal Advisor under the Dodd-Frank Act. C) Dodd-Frank Act mandates Registration, Fiduciary Duties, Compliance with MSRB rules, Compliance Program, and Record Keeping for Non-Solicitor Municipal Advisors. D) These are not the specific governance obligations for a Non-Solicitor Municipal Advisor under the Dodd-Frank Act. The FTC does not regulate municipal advisors.