Municipal Rules and 529 Plans Update

SKU: FR3700

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About This Course

The MSRB (Municipal Securities Rulemaking Board) substantially amended its rules for municipal dealers’ advertising and adopted a brand new standard for municipal advisors’ advertising. The MSRB also adopted formal guidance for both dealers and advisors’ use of social media.

The municipal securities advertising rules have changed. This CLE Lecture will assist in learning how the regulators are applying the modernized standards including the new rule for municipal adviser firms. The CLE will address the recent sweep involving 529 educational savings plans and developments in the marketing of these products. This CLE lecture will address how these rules changes and impact firms’ marketing and advertising efforts.

Topics discussed:

  • Apply the amendments to MSRB Rule G-21 (Advertising by Brokers, Dealers or Municipal Securities Dealers) for municipal dealers’ advertising.
  • Understand and apply new MSRB Rule G-40 (Advertising by Municipal Advisors) for municipal advisors’ advertising.
  • Apply the MSRB’s new social media guidance.
  • Discuss recent FINRA’s 529 Self-Reporting initiative.
  • Respond to changes in the marketing of 529 educational savings plans.

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