Series 51 - Municipal Fund Securities

Anyone who manages, directs or supervises activities in municipal fund securities (Section 529 Plans) must be licensed as either a Series 51 Limited Principal or Series 53 Municipal Securities Principal.

The Series 51 was developed for broker-dealers who do not deal in traditional municipal securities and thus do not have a Series 53 licensed principal. These broker-dealers are FINRA members that either have Series 24 or Series 26 licensed principals. These individuals can "tack on" a limited municipal principal license to supervise the sale of Section 529 plans by becoming Series 51 principals.

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