Overview
The Securities and Exchange Commission (SEC) and the Municipal Securities Rulemaking Board (MSRB) are continuously looking for ways to enhance investor protection in the municipal securities market. This course gives an overview of the areas regulators are currently focused on: improving issuer disclosure quality, preventing fraud and abuse, and educating investors.
Learning Objectives
- understand MSRB rules surrounding municipal securities practices
- comprehend fiduciary duties in the municipal securities market
- learn MSRB rules on disclosure obligations for municipal securities advisors
- grasp MSRB rules on suitability
Designed For
Municipal Securities Advisors
Find this course for your license:
License or Certification
Regulator
Type