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The SEC approved the MSRB proposal to amend
Rule G-3 to establish additional qualification requirements for
municipal advisor principals. The rule changes will become
effective on December 20, 2018.
As
previously covered, the proposed amendments would (i) establish
the Municipal Advisor Principal Qualification Examination (the
"Series 54 examination") and (ii) require those persons
who meet the definition of a municipal advisor principal to pass
the Series 54 examination prior to becoming municipal advisor
principals. In addition to passing the Series 54 examination, such
persons still would be required to pass the Municipal Advisor
Representative Qualification Examination.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
