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Registration rules for municipal advisors

Source: Securities and Exchange Commission

Municipalities that issue these securities frequently rely on advisors, who help to decide among other things how and when to issue the securities and how to invest the proceeds from the sales. In turn, these advisors receive fees for the services they provide.

To ensure compliance with standards for training, qualification, or conduct, including the treatment of conflicts of interest a municipal advisor is required to permanently register with the SEC if it provides advice on the issuance of municipal securities or about certain "investment strategies" or municipal derivatives.

IRMA certificate and more info

Please click on the buttons below for the independent registered municipal advisor (IRMA) certificate or to learn more.