Series 54: 3.1.6.4. Continuing Education Requirements For Covered Persons

Taken from our Series 54 Online Guide

3.1.6.4.  Continuing Education Requirements for Covered Persons

Municipal advisors must maintain a continuing education program for its covered persons to enhance their municipal advisory knowledge, skill, and professionalism. Covered persons are those who have been qualified as either a municipal advisor representative or a municipal advisor principal. All covered persons must participate in the continuing education program.

At a minimum, each municipal advisor shall at least annually do the following:

Evaluate and prioritize its training needs

Develop a written training plan

Conduct training annually for covered persons on municipal advisory activities

The training plan must take into consideration the municipal advisor’s size, organizational structure, and scope of municipal advisory activities, as well as regulatory developments.

The training plan must be appropriate for the municipal advisor’s bus

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