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APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION. ANNUAL UPDATE OF MUNICIPAL ADVISOR REGISTRATION. AMENDMENT OF A PRIOR APPLICATION FOR REGISTRATION.
Do municipal securities need to be registered?
Dealers engaging in municipal advisory activities must register with the MSRB as both a dealer and a municipal advisor. Prior to registering with the MSRB, each dealer and municipal advisor must register as such with, and be approved by, the SEC.
What is the MSRB Rule A-12?
MSRB Rule A-12 requires that every regulated entity review and, if necessary, update information on Form A-12 annually during the Annual Affirmation Period. The Annual Affirmation Period begins on January 1st and ends January 31st of each calendar year.
What is form A12?
Form A-12 is used to: Initiate registration as a dealer prior to engaging in municipal securities activities. Initiate registration as a municipal advisor prior to engaging in municipal advisory activities. Update registration information within 30 days of changes in relevant information.
How to become a registered municipal advisor?
Series 50Municipal Advisor Representative Examinationis a Municipal Securities Rulemaking Board (MSRB) exam. The exam consists of 100 scored questions and an additional 10 unscored pretest questions. Candidates are given three hours to complete the exam. The passing score is 71%.
a12 t2
A12 form pdfA12 form downloadMSRB Form A 12 Annual AffirmationForm MAMSRB Form A 12 instructionsMSRB GatewayMSRB a 13msrb rule g-37
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