Back to the Future in Fixed Income Investing? Navigating a Changing Landscape in Municipal and Fixed Income Securities


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About This Course

This panel will discuss common content standards between FINRA Rule 2210 and MSRB Rule G-21 and describe some key differences. Attendees will hear tips on creating compliant municipal securities communications and considerations for more complex debt instruments. Attendees will gain knowledge of how FINRA’s Fixed Income Regulation Staff works with MSRB on municipal securities matters.

Topics Discussed:

  • Comply with the common content standards of FINRA Rule 2210 and MSRB Rule G-21 and understand some key differences between the Rules;
  • Understand additional responsibilities of dually registered broker-dealers and municipal advisors;
  • Explain how FINRA and MSRB work on municipal securities matters; and
  • Create compliant fixed income and municipal securities communications.

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