Series 50—the Municipal Fund Securities Limited Principal Qualification Examination (FP)—is a Municipal Securities Rulemaking Board (MSRB) exam.
The use of a combined name on certain public communications to reflect a recent merger of two member firms and create a single global "brand," would not violate the requirement of Rule 2210 that public communications include the name of the member firm.
Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
The Manipulative Trading topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The Market Access Rule section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING*
Corporate Finance
Government
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
*These are suggested
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
During the last two years, NASD Regulation, Inc. (NASD RegulationSM) has imposed
The Series 51 exam—the Municipal Fund Securities Limited Principal Qualification Examination (FP)—is a Municipal Securities Rulemaking Board (MSRB) exam.The exam consists of 60 scored questions and five unscored pretest questions. The additional questions are randomly distributed. Candidates are given two hours and 45 minutes to complete the exam. The passing score is 70%.For additional
The Series 53 exam—the Municipal Securities Principal Qualification Examination (MP)—is a Municipal Securities Rulemaking Board (MSRB) exam. The exam consists of 100 scored questions and 10 unscored pretest questions. The additional questions are randomly distributed. Candidates are given three hours and 15 minutes to complete the exam. The passing score is 70%.For additional information
The Series 52 exam—the Municipal Securities Representative Qualification Examination (MR)—is a Municipal Securities Rulemaking Board (MSRB) exam. The exam consists of 75 scored questions and five unscored pretest questions. The additional questions are randomly distributed. Candidates are given two hours and 30 minutes to complete the exam. The passing score is 70%.For additional
