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. This course gives an overview of the areas regulators are currently focused on: improving issuer disclosure quality, preventing fraud and abuse, and educating investors. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


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 




Course Information

Adding additional credit may change exam requirements.