Series 53: Activities Of Principals

Taken from our Series 53 Online Guide

Activities of Principals

Only certain principals can oversee certain municipal securities activities. The following table summarizes the activities that each principal can oversee.

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Which Principal Is Permitted to Do the Following Municipal Securities Tasks?
	Municipal Securities Principal (Series 53)	Municipal Securities Sales Principal (Series 9/10)	General Securities Principal (Series 24)	Municipal Fund Securities Principal* (Series 51)
Review and approve new accounts that will transact in municipal securities	X	X	X	X
Review accounts that will transact in municipal securities for abuse and irregularities	X	X		X
Approve of municipal transactions (final approval of orders)	X	X		X
Oversee compliance with applicable MSRB rules	X	X		X
Follow up on complaints regarding municipal securities activities	X	X		X
Periodically review each office where municipal securities activities take place	X			X