Highlights of Municipal Securities Rules

Overview

The Municipal Securities Rulemaking Board (MSRB) is the regulator that establishes and enforces rules for securities firms, banks, and municipal advisors that engage in municipal securities transactions and who advise investors and local governments. This course highlights some of these rules, including the topics of suitability, fair dealing, standards of conduct, disclosures, and supervision. 

Learning Objectives

Students who successfully complete this course will be able to:

  • understand suitability obligations under MSRB rules
  • identify recordkeeping obligations under MSRB rules
  • understand rules on gifts and gratuities
  • understand rules on political contributions
  • discuss disclosure obligations under MSRB rules
  • describe books and records under MSRB rules
  • understand supervisory obligations under MSRB rules
  • understand required standard of conduct, including fair dealing

Designed for

Retail

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