Muni Advisors

Overview

This page is intended to provide an overview of the requirements applicable to municipal securities advisors. For more general information on municipal securities, see the topic page on Municipal Securities and Municipal Securities Dealers.

See also the pages on the Municipal Advisor Registration Process, the Municipal Advisor Registration Requirement, and Muni Advisor Conduct Regulation.

Steven.Lofchie@cwt.com's picture
Contributor Organization 
Contributor Title 
Partner
maurine.bartlett@cwt.com's picture
Contributor Organization 
Contributor Title 
Senior Counsel
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Contributor Organization 
Contributor Title 
Senior Attorney

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Statutes and Rules

MSRB Rules and Overview Materials

FINRA Rules

 

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Know: 

MSRB Overview Materials