Muni Dealer and Muni Advisor Registration Process

Overview

This page provides information on the process by which firms become registered with the SEC under SEA Section 15B, become members of the MSRB and keep their membership current, whether in the role of broker-dealer or of municipal advisor. See also the topic page on the Muni Advisor Registration Requirement.

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Statutes and Rules

SEA Registration Forms

MSRB Rules