MFPs and MAPs
Municipal advisor professionals (MAPs) include:
- • Municipal Advisor Representatives—associated persons engaged in municipal advisory activities (not including clerical or ministerial functions) (Recall that the Series 50 is required.)
- • Municipal advisor solicitors—associated persons who solicit business from municipal entities on behalf of the municipal advisor (or a dealer in the case of a third-party solicitor)
- • Municipal Advisor Principals—principals who manage Municipal Advisor Representatives
- • Dealer supervisory chain persons—any associated persons who supervise a municipal advisor principal, up to and including the CEO
- • Members of a dealer’s executive or management committee (i.e., municipal advisor executive officers)
A non-MAP executive officer is an executive who does not supervise any municipal advisor professionals.
Municipal finance professionals (MFPs) include:
- • Municipal finance rep