Fixed Income Communications

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About This Course

This CLE program will discuss how broker dealers can apply the upcoming changes in the fixed income communications rules as well as how to apply current standards to communications about complex income investments.

By the end of the session, you will be able to:

  • Summarize recent developments in FINRA and the MSRB’s regulation of communications concerning fixed income securities.
  • Apply FINRA and the MSRB’s enhanced confirmation disclosure requirements.
  • Address the challenges of creating compliant communications for new and complex debt instruments.

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