Bri Joiner

Director

Bri Joiner, Director, Regulatory Compliance, Municipal Securities Rulemaking Board

Don’t risk becoming non-compliant: deadline for qualified muni advisor principal is approaching

On Dec. 1, 2021, any municipal advisor firm that has no individual qualified with the Series 54 exam will be out of compliance and referred to the examining authorities for violation of MSRB rules.

By Bri Joiner

November 1