Series 52: Updates And Annual Affirmations

Taken from our Series 52 Top Off Online Guide

Updates and Annual Affirmations

Broker-dealers are required to notify the MSRB within 30 days if any information provided in Form A-12 becomes inaccurate. An updated Form A-12 must be submitted if a dealer changes the firm’s name or address, modifies its activities, or stops engaging in municipal securities business for any reason. Dealers must also notify the MSRB of any expulsion or suspension from membership in a national securities exchange or registered securities association. Written notification must include a statement o

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