Fixed Income Products and Regulation
| Cost |
Members - $1,800 Non-Members - $2,350 |
|
| Duration | 2 Days | |
| Time | 8:00 am – 5:00 pm | |
| CRCP Credits | 12 | |
| CRCP CE Credits | 12 | |
| CPE Credits | 15.5 | |
| CPE Course Type | Overview | |
| Location | Date | Code |
| TBD | Available in 2010 | TBD |
| Venue | ||
| TBD | ||
Other Registration Options & Cancellation Policy
Tentative 2010 Course Agenda (PDF 52 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 mortgage-backed securities. Coursework covers federal, FINRA and MSRB rules and regulations related to debt securities, as well as current market events, market convergence and regulatory responses.
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 U.S. 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 to value hard-to-value securities
- Discuss current regulatory issues in the marketplace including recent enforcement actions
Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
