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11 Cards in this Set
- Front
- Back
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Municipal Adviser Representatives |
Associated persons engaged in municipal advisory activities (not including clerical or ministerial functions) |
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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) |
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Municipal advisor principals |
principals who manage Municipal Advisor Representatives |
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Dealer supervisory chain persons |
any associated persons who supervise a municipal advisor principal, up to and including the CEO |
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Who is Considered a Map? |
1. Municipal Advisor Representatives 2. Municipal advisor solicitor 3.Municipal advisor principals 4. Dealer supervisory chain persons 5.Members of a dealer’s executive or management committee (i.e. municipal advisor executive officers) |
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non-MAP executive officer/ non-MFP executive officer |
is an executive who does not supervise any municipal advisor professionals/municipal finance professionals. |
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Municipal finance professionals (MFPs) include: |
1.Municipal finance representatives 2.Dealer solicitors 3.Municipal finance principals 4.Dealer supervisory chain persons 5. Members of a dealer’s executive or management committee |
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Municipal finance representatives |
associated persons engaged in municipal securities activities, other than retail sales |
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Dealer solicitors |
associated persons who solicit business from municipal entities on behalf of a dealer |
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Municipal finance principals |
municipal securities principals who manage municipal securities representatives or dealer solicitors |
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Dealer supervisory chain persons |
any associated persons who supervise a municipal finance principal, up to and including the CEO |
