Hot Topics in Municipal Securities and Other Fixed Income


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About This Course

FINRA and MSRB staff discuss recent enforcement actions related to municipal securities (e.g., 529 Plans, municipal short positions), examination priorities, fixed income-related rulemaking, and common problems uncovered during Member Supervision and Market Regulation reviews.

After attending this session, you will be able to:

  • Review recent enforcement actions on 529s and muni shorts
  • Discuss topics related to municipal securities
  • Discuss recent and ongoing regulatory initiatives

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