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 techni