Series 53: Required Contacts

Required Contacts

Broker-dealers are required to designate several contact persons when they register with the MSRB. On Form A-12, the dealer must designate the following:

• • Primary regulatory contact
• • Master account administrator
• • Billing contact
• • Compliance contact
• • Primary data quality contact

To facilitate communication between the broker-dealer and the MSRB, the dealer may also designate one or more of the following contacts:

• • Optional regulatory contact
• • Optional technical contact
• • Optional data quality contact