Municipal Securities Activity by Broker-Dealers and Advisors 2013
May 31, 2013
CLE - Live Seminar
USA
Description
The Dodd-Frank Act and related developments ushered in new rules for broker-dealers and advisors in the municipal market arena. This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealer and advisor municipal securities activity. Discussion will include the interplay between the various regulators with respect to municipal securities activity and offer practical compliance considerations.
- How the MSRB, SEC and FINRA interact re: municipal securities regulation
- An overview of the regulatory framework
- The SEC’s Municipal Advisor Rule
- The MSRB Rulebook
- FINRA guidance re: broker-dealer sales of municipal securities
Organized by
Practising Law Institute
810 Seventh Avenue
New York, New York
United States of America
More Information
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