MSRB Report Cards: (Duration: 59 Minutes) | FINRA.org

MSRB Report Cards: (Duration: 59 Minutes)

This session provides a comprehensive overview of FINRA's municipal bonds report cards, covering compliance with MSRB rules, SEC requirements and EMMA disclosure obligations across areas including fair pricing, primary offerings, financial disclosures and customer transaction standards. Attendees learn how to navigate these report cards and leverage Report Center data in their supervisory and compliance programs.

FINRA Speakers

  • Will Leahey, Senior Director, Market & Regulatory Services
  • Michael Nouri, Senior Principal Examiner, Regulatory Operations
  • Erica Proctor, Associate General Counsel, Office of General Counsel 

Resources

 

FINRA MEMBER REGISTRATION

 

CRCP Graduates

COMPLETE THE FORM BELOW

FINRA members should complete the form below and click "Submit" to proceed.

SIGN-UP

Don't know your firm's CRD#? Look it up in BrokerCheck.