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.
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(On-demand program fees: $25 - FINRA member rate or $50 - non-member rate)
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