Municipal Securities: Rules and Regulations

Overview

This course discusses municipal securities, provides the definition for municipal advisor, and reviews the regulatory structure and basic rules applicable to registered representatives.

Learning Objectives

Upon completion of this course, students should understand: 

  • municipal securities
  • who is a municipal advisor
  • regulations applicable to municipal advisors
  • rules applicable to municipal advisors, municipal products, and investment strategies

Designed For

Municipal Advisors

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