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
Learning 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.
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S2-31 - Framework