Series 50: Municipal Securities Principal (Series 53)

Taken from our Series 50 Online Guide

Municipal Securities Principal (Series 53)

To become a Municipal Securities Principal a person must pass the Series 53 exam. A Municipal Securities Principal is qualified to manage municipal securities activities for all types of municipal securities and municipal fund securities.

The term “Municipal Securities Principal” means a natural person (other than a Municipal Securities Sales Principal) associated with a broker, dealer, or municipal securities dealer who is directly engaged in the management, direction, or supervision of one or more of the following activities:

  • Underwriting, trading, or sales of m

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