Fixed Income Products and Regulation

Cost

Members - $1,700
Non-Members - $2,200

Duration

2 Days

Time

8:30 am - 4:45 pm

CRCP Credits

12

CRCP CE Credits

12

CPE Credits

15.5

CPE Course Type

Overview

Location

Date

Code

New York, NY 

October 29-30, 2008 

CL2481 - Register Online Now 

Venue

The Coleman Center

810 Seventh Avenue

(between 52nd and 53rd Street)

New York, NY 100191

 

Other Registration Options & Cancellation Policy

 

October Course Agenda (PDF 31 KB)

 

This course qualifies for FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) credit for candidates who have taken courses prior to January 2007. Participants taking the course who are not CRCP Program candidates prior to January 2007 are not required to take the assessment exercise and will not earn CRCP credit.

 

Course Description


This course provides an overview of fixed income products, including corporate, municipal, U.S. Treasury and other debt securities. Coursework covers federal, FINRA and MSRB rules and regulations, and addresses issues surrounding market convergence and the electronic marketplace for debt.

After completing this course, you will be able to:

 

  • Discuss the nature, size and regulatory structure of the fixed income securities markets 
  • Explain federal, FINRA and MSRB rules and regulations governing fixed income products 
  • Discuss the different types of marketable U.S. treasury securities 
  • Summarize the creation of structured products in the US marketplace 
  • Explain the features and trading characteristics of corporate, municipal, mortgage-backed securities and collateralized debt obligations 
  • Explain market convergence, liquidity, prices and yield spreads 
  • Understand and explain the process for valuing hard-to-value securities 
  • Discuss current regulatory issues in the marketplace including recent enforcement actions

 

Only FINRA’s Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.