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. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • understand suitability obligations under MSRB rules
  • understand rules on gifts, gratuities, and 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 registered representatives 




Course Information

Adding additional credit may change exam requirements.