Hot Topics in Municipal Securities and Other Fixed Income

Accreditation Wreath Icon AL
SKU: SEC062
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

During this CLE program, a wide range of essential aspects pertaining to fixed income securities will be covered. This includes examination priorities, common findings, and enforcement actions, as well as rulemaking specific to the fixed-income market. An update on SEC Rule 15c2-11 will also be provided.

The session will address the following topics:

  • Review of recent enforcement actions concerning municipal securities, such as 529 Plans and municipal short positions. Additionally, it will cover examination priorities, rulemaking related to fixed income, and common issues identified during Member Supervision and Market Regulation reviews.
  • Special emphasis on trade reporting accuracy and any recent changes or updates to Rule 15c2-11, which is relevant to the session's discussion.
  • Exploration of firm short positions and fails-to-receive scenarios within municipal securities and the broader fixed-income landscape.
  • Overall, this session aims to provide comprehensive insights into fixed income securities, incorporating recent enforcement actions, regulatory priorities, rulemaking updates, and specific areas of focus within the fixed-income market.
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