Municipal Securities Compliance and Enforcement Priorities: Disclosures and Other Enforcement Trends
Original Program Date: November 17, 2010
FINRA, the Municipal Securities Rulemaking Board (MSRB) and industry practitioners discuss municipal securities compliance priorities and related enforcement trends. Panelists discuss compliance issues related to new issue syndicate practices, political contributions and disclosure of material information to customers. This 60-minute webinar may qualify for CLE credit, depending on jurisdiction.
These webinars are powered by Practising Law Institute (PLI) and CLE credit may be available. If you would like to obtain CLE credit, you must register as an individual viewer. CLE credit is not available to those who view webinar in a group setting.
Register Now
- Test Your System:Prior to registering, we recommend testing your computer system to ensure it meets the minimum systems requirements for viewing webinars.
- Complete the Registration Form: Complete the online registration form below and submit the appropriate registration fee. A confirmation email will be sent to you upon receipt of payment.
Registration Form for the On-Demand Webinar
(On-demand program fees: $25 - FINRA member rate or $50 - non-member rate)
Please note that only paid users are allowed access to the FINRA webinars. FINRA webinars contain FINRA confidential and proprietary information, and are intended only for use by authorized paid users. Do not share the access links with anyone who has not purchased access.
Please email us if you have questions regarding this webinar.
FINRA's webinars are the sole property of FINRA and the information provided is for informational and educational purposes only. The content of the webinars does not constitute any FINRA rule or amendment or interpretation to such rules. Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA rules, the rules of any other SRO, or securities laws. Use of this webinar does not create a safe harbor from regulatory responsibility. This webinar is provided "as is". FINRA and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce the webinars in any form, nor reference them in any publication, without the express written consent of FINRA.
Only FINRA's Annual Conference is open to the media. All other FINRA conferences, webinars, and other programs are closed to the media.