3-Hour Program
See Credit Details Below
Overview
Why you should attend
The Dodd-Frank Act and related developments ushered in new rules for broker-dealers and advisors in the municipal market arena. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealer and advisor municipal securities activity. Discussion will include the interplay between the various regulators with respect to municipal securities activity and offer practical compliance considerations.What you will learn
- How the MSRB, SEC and FINRA interact re: municipal securities regulation
- An overview of the regulatory framework
- The SEC’s Municipal Advisor Rule
- The MSRB Rulebook
- FINRA guidance re: broker-dealer sales of municipal securities
Who should attend
Lawyers and compliance professionals seeking a better understanding of the municipal securities regulatory framework.