Series 53: Required Contacts

Taken from our Series 53 Online Guide

Required Contacts

Dealers are required to designate several contact persons when they register with the MSRB. On Form A-12, the dealer must designate a primary regulatory contact, master account administrator, billing contact, compliance contact, and primary data quality contact. To facilitate communication between the dealer and the MSRB, the dealer may also designate one or more of the fol

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