3-Hour Program

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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.

Credit Details