Series 54: 3.2.5.3. MAPs And MFPs

Taken from our Series 54 Online Guide

3.2.5.3. MAPs and MFPs

Municipal advisor professionals (MAPs) include:

• Municipal advisor representatives—associated persons engaged in municipal advisory activities (not including clerical or ministerial functions)

• 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

• Advisor supervisory chain persons—any associated persons who supervise a municipal advisor principal, up to and including the CEO

• Members of a advisor’s executive or management committee (e.g., 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:

•

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