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From the program: Municipal Securities Activity by Broker-Dealers and Advisors 2013

Released on: Jun. 14, 2013

The Dodd-Frank Act and related developments ushered in new rules for broker-dealers and advisors in the municipal market arena. This program will provideyou 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.Lecture Topics  ...

Recorded on: Jan. 28, 2013

Taken from the Web Program Securities Products of Insurance Companies in the Course of Regulatory Reform 2013 Recorded January, 2013 in New York Regulation of Derivatives and Revisiting Dodd-Frank [01:00:12] Federal Insurance Office Market infrastructure for swaps Stable value contracts CFTC regulation of funds and harmonization Scrutiny of repos and securities lending The purchase price of this segment includes the ...