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APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION. ANNUAL UPDATE OF MUNICIPAL ADVISOR REGISTRATION. AMENDMENT OF A PRIOR APPLICATION FOR REGISTRATION.
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.
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.
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.
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%.
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