Series 53: Municipal Securities Principal (Series 53)

Taken from our Series 53 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 municipal securities
  • Financial advisory or consultant services for issuers in c

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