Series 53 Exam Details

The MSRB^® Series 53, Municipal Securities Principal Exam is required of individuals who as a principal will supervise the municipal securities activities of a securities firm or bank dealer.

Outline of Topics Covered

• Federal Regulations
• General Supervision
• Sales Supervision
• Origination and Syndication
• Trading
• Operations

Best Practices Guide

Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.

Additional Details

For more exam details, including fees and passing score, please visit FINRA.

Attention Colorado Students

Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.