Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities

Accreditation Wreath Icon AL
SKU: SEC042
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

This CLE course will address the most common content standards between FINRA Rule 2210 and MSRB Rule G-21 as well as their primary differences. The course will offer tips and strategies on creating compliant municipal securities communications and considerations for more complex debt instruments.

An understanding of how FINRA’s Fixed Income Regulation Staff works with MSRB on municipal securities matters will be presented as will the additional responsibilities of dually registered broker-dealers and municipal advisors.

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