Overview
This course covers fixed-income securities and the fair pricing rules set by FINRA and MSRB. It explains the obligations for transactions in all securities, including municipal and debt securities, and the requirements for dealers in debt-related transactions. The course provides an overview of FINRA and MSRB rules, focusing on the nature and function of fixed-income securities and how fair pricing rules impact sales.
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License or Certification
Regulator
Type
Learning Objectives
- have a solid understanding of fixed-income securities
- understand relevant differences between private and public fixed-income securities
- understand the function and applicability of FINRA rules to fixed-income securities
- understand the function and applicability of MSRB rules to fixed-income securities
- understand FINRA Rules as they relates to fair pricing and commissions on fixed-income securities
- understand MSRB Rules as they relates to fair pricing and commissions on fixed-income securities
- understand the meaning of "prevailing market price" and the process for discovering it
Designed For:
Course Information
Adding additional credit may change exam requirements.
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