FINRA Compliance Municipal Securities: Sales Practices and Supervisory Requirements (Interactive)

Municipal Securities: Sales Practices and Supervisory Requirements (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2 


This course will examine the regulatory issues affecting (i) sales practices of securities firms and registered representatives in the sale of municipal securities and (ii) the supervisory requirements applicable to securities firms regarding the sale of municipal securities.

This presentation will be divided into two lessons:
Lesson 1 - Municipal Securities Sales Practices
Lesson 2 - Supervision of Municipal Securities Sales

Upon completing this course the student should have a good understanding of the regulatory framework affecting the activities and responsibilities of firms and registered representatives involved in the sale of municipal securities.


Course Objectives

After completing this course, you should be able to:
- Describe the place of the municipal securities market in the general framework of securities regulation.
- Discuss the role of the MSRB in the regulation of municipal securities, including its relationship with other agencies.
- Discuss the sales practices issues that are unique to the municipal securities industry.
- Discuss the disclosure obligation, the suitability obligation and the fair pricing obligation.
- Describe the supervisory obligations of firms in the municipal security industry.


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