Hot Topics in Municipal Securities and Other Fixed Income


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About This Course

This CLE program covers an assortment of key considerations surrounding fixed income securities including exam priorities, common findings and enforcement actions, fixed-income rulemaking, and an update on SEC Rule 15c2-11.

This CLE program will discuss:

  • Review of 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
  • Include a focus on trade reporting accuracy and changes to 15c2-11
  • Firm Short Positions and Fails-to-Receive in Municipal Securities and Fixed Income

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