Customer Protection and Disclosure

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. Areas that regulators are currently focused on include:

  • Improving the quality of disclosure by municipal issuers
  • Preventing fraud and abuse in the municipal securities market
  • Educating investors about municipal securities

Learning Objectives

This course will focus on investor protection in the municipal securities market. Upon completion of this course, you should understand:

  • MSRB rules surrounding municipal securities practices
  • Fiduciary Duties
  • MSRB rules on disclosure obligations of municipal securities advisors
  • MSRB rules on suitability

Designed For

Municipal Securities Advisors 

Find this course for your license:

License or Certification

Regulator

Type