Hot Topics in Municipal Securities and Other Fixed Income

Accreditation Wreath Icon AL
SKU: SEC021
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

There have been a variety of recent enforcement actions related to municipal securities (e.g. 529 Plans, municipal short positions), fixed-income related rulemaking, examination priorities and other typical problems that are revealed during Member Supervision and Market Regulations reviews.

This CLE course, presented by FINRA and MSRB staff, will explain recent enforcement actions on muni shorts and 529’s as well as address a variety of topics related to municipal securities and recent and ongoing regulatory initiatives.

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