Series 50: Recordkeeping Requirements

Taken from our Series 50 Online Guide

Recordkeeping Requirements

In addition to submitting reports to the MSRB about political contributions, dealers and advisors must also maintain records of political contributions. These records must include a list of:

•Names, addresses, and titles of the dealer’s MFPs or the advisor’s MAPs

•Names, addresses, and titles of the dealer’s non-MFP executive officers or the advisor’s non-MAP executive officers

•States in which the dealer or advisor seeks to engage in municipal securities business

Records for the current calendar year and each of the two previous years must also include a list of:

•All the issuers with which the dealer or advisor has dealt in municipal securities business or municipal advisory business

•All contributions made to officials of an issuer

+ Read More

More Series 50 Info

What are people saying?

Create an Account

Since you're reading about Series 50: Recordkeeping Requirements, you might also be interested in:

Series 22 - Leasehold Costs

Series 63 - 6.3. Trust Indenture Act of 1939

Series 79 - Normalizing Earnings

Series 52 - Chapter 5 Practice Questions

Series 28 - Liquidation

Series 66 - 7.8.3.1 Registration Exceptions

Series 66 - Stock Splits

Series 66 - Exercise

Series 53 - Registration with the MSRB

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Jeremy and Tim were extremely helpful in helping me get through some of the tricky parts of the Series 50 exam. Your customer service was top notch and I would highly recommend Solomon to anyone sitting for this test.

Joe M, MBS, Inc, Atlanta, GA

I passed . Got an 84 on my Series 50. Solomon's prep material was pretty good. The practice tests were very helpful too. The numerical examples embedded within the theory really helped with the concepts. Made the material easy to read and understand.

Mudra Patel, San Francisco, CA

I haven't taken an exam in about 15 years and I'm happy to report that I passed the Series 50 Municipal Advisor exam on my first attempt. The material was extremely thorough and comprehensive. The online questions, quizzes and exams were very comparable in difficulty to the actual exam, thus providing the foundation for my success. Thank you for your guidance.

J. Mark Chapman, IBIC LLC, Madison, CT

Five decades in the muni business didn't guarantee I'd pass the Series 50 pilot exam. (Just knowing content doesn’t mean you are ready for the test.) Thankfully, my Solomon Exam Prep materials were fantastic at teaching complex subject matter in a way that made the answers clear, and I passed the test with ease.

If you plan to take the Series 50 exam, then I strongly recommend that you give yourself the edge that Solomon's study materials provide.

John Canney, Municipal Advisors Group Boston, MA

I just passed the Series 50 exam! Yay! The Solomon Exam Prep materials are excellent. I utilized the guide book, on-line lecture, on-line course, on-line study guide and quizzes. The "Ask the Professor" feature was very helpful as well. I highly recommend their resources.

Lori Volz, Baker Tilly, Minneapolis, MN

I prepared for the Series 50 (Municipal Advisor) exam using your materials and was extremely satisfied. Having the materials in multiple written and audio formats provided a lot of flexibility in where and when I could study. The scope of the Series 50 exam is so broad that even very experienced individuals would benefit by this type of preparatory course. I highly recommend this product.

Derek Morse, Morse Associates Consulting, LLC, Reno, NV