The MSRB recently announced registration requirements for municipal advisory firms and their principals and representatives. Individuals subject to this requirement must take and pass the Series 50 exam no later than September 12, 2017. The Series 50 exam …
Tag: MSRB
The MSRB has recently determined that certain ABLE Accounts are subject to MSRB regulation because of their similarity to Section 529 Plans. Dealers and representatives that effect transactions in municipal fund securities, as in the sale of Section …
FINRA Rule 6730 and MSRB Rule G-14 will be updated with reporting changes that are effective on Monday, July 18. These changes reflect the continued efforts by FINRA and the MSRB toward greater transparency for all market participants. …
The MSRB will be offering a Series 50 Pilot Examination for Municipal Advisors who are currently engaged in the municipal advisory business. The pilot Series 50 Examination will be available for a 30–day period beginning on January 15, 2016 …