Compliance Center

The MSRB provides resources to assist municipal securities dealers and municipal advisors with understanding and complying with municipal market regulations. Learn more about the types of compliance information the MSRB provides.

Home > Compliance Center

Market Education

Access a suite of interactive, online courses for municipal market professionals. CPE credit is available.

Compliance Resources

Access a calendar of key compliance dates and other resources to support understanding of MSRB rules.

Professional Qualification

The MSRB sets requirements for securities firms, banks, municipal advisors and their associated persons to be permitted to engage in municipal securities and municipal advisor activities.

Series 54 Examination

Read about developments in professional qualifications for municipal advisor principals, including the Series 54 examination.

Series 50-Qualified Representatives

View a list of Series 50-qualified representatives and their associated municipal advisor firms.

Registration

Brokers, dealers, municipal securities dealers and municipal advisors are required to register with the MSRB.

Assessment and Fees

Read about assessments, fees and billing information. Click here to view MSRB bill payment options.

MSRB Registration Status

Access a list of registered municipal advisor firms with Series 50-qualified municipal advisor representatives. Access a list of registered brokers, dealers and municipal securities dealers, and executing broker symbols.

Webinars

View free live webcasts and on-demand webinars about MSRB regulatory initiatives. CPE credit is available.

Continuing Professional Education

CPE credit is available through the MSRB’s free live webcasts, on-demand webinars and interactive online MuniEdPro® courses.

Compliance Corner

Read this quarterly newsletter to find the latest compliance resources and tools for municipal securities dealers and municipal advisors. Subscribe to Compliance Corner.