Hot Topics in Municipal Securities and Other Fixed Income

SKU: SEC062

Illinois MCLE
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About This Course

During this CLE program, a wide range of essential aspects pertaining to fixed income securities will be covered. This includes examination priorities, common findings, and enforcement actions, as well as rulemaking specific to the fixed-income market. An update on SEC Rule 15c2-11 will also be provided.

The session will address the following topics:

Review of recent enforcement actions concerning municipal securities, such as 529 Plans and municipal short positions. Additionally, it will cover examination priorities, rulemaking related to fixed income, and common issues identified during Member Supervision and Market Regulation reviews.
Special emphasis on trade reporting accuracy and any recent changes or updates to Rule 15c2-11, which is relevant to the session's discussion.
Exploration of firm short positions and fails-to-receive scenarios within municipal securities and the broader fixed-income landscape.
Overall, this session aims to provide comprehensive insights into fixed income securities, incorporating recent enforcement actions, regulatory priorities, rulemaking updates, and specific areas of focus within the fixed-income market.

Lecturer Bios

Cynthia Friedlander

Cynthia Friedlander is the Director of Fixed Income Regulation within FINRA Member Regulation. Ms. Friedlander is responsible for directing FINRA’s policies and national programs related to fixed income securities, including related regulatory matters in FINRA District Offices. Specifically, she is responsible for the design, development and delivery of fixed income policy guidance to staff throughout FINRA, as well as to member firms, and is one of FINRA’s primary representatives in fixed income regulatory matters with the Municipal Securities Rulemaking Board (MSRB) and the Securities and Exchange Commission (SEC).

Ms. Friedlander represents FINRA at government agency, SRO, and industry and advisory meetings, and is a staff liaison to FINRA’s Fixed Income Committee. She holds a bachelor’s degree from the University of Virginia and a master of business administration from George Mason University.

John Saxton, Esq.

John Saxton is Senior Director in FINRA’s Division of Market Regulation. He joined FINRA/New York Stock Exchange in 1997 and currently leads the Trading and Execution Fixed Income Examination team. This specialized team is responsible for conducting trading and execution reviews in fixed income securities within FIRNA’s cycle examination program.

Prior to his current role, Mr. Saxton was a Senior Director in FINRA’s Division of Market Regulation supervising several surveillance teams and was a Trial Counsel in NYSE’s Division of Enforcement. Mr. Saxton earned his J.D. from New York Law School and a B.S. in Business Administration from St. Michael’s College.

William Downey Esq.

William Downey is a Specialist Manager for the Fixed Income Specialist team within FINRA Member Supervision. Mr. Downey leads a team focused on examining fixed income business lines at member firms to ensure compliance with relevant MSRB, FINRA and SEC rules. He has worked as a trader on both the sell side of the municipal market with Oppenheimer & Co., Inc. and Morgan Stanley Wealth Management and on the buy side with AllianceBernstein LP. Mr. Downey holds a bachelor’s degree in economics from Wake Forest University.

Bri Joiner, Esq.

Bri Joiner is Director of Regulatory Compliance at the Municipal Securities Rulemaking Board (MSRB), in which she oversees a portfolio of programs under the MSRB’s Market Regulation department, maintaining responsibility for strategic planning and execution of long-term objectives. Ms. Joiner is directly responsible for the MSRB’s professional qualifications program, examiner training program and regulatory compliance program initiatives.

Prior to assuming her current role, Ms. Joiner managed the MSRB’s regulatory education program leading the development and delivery of content for regulated entities and market stakeholders in support of a fair and efficient municipal securities market. Prior to joining the MSRB, Ms. Joiner spent 10 years at the Financial Industry Regulatory Authority (FINRA). She served as Senior Regulatory Policy Analyst in FINRA’s Office of General Counsel, where she worked on rulemaking initiatives and researched legal and compliance matters.

She also held the position of Senior Manager in FINRA’s Member Education and Training department, where she advised on initiatives having a market impact and served as a subject matter expert on various topics. Ms. Joiner began her career at the U.S. Securities and Exchange Commission. Ms. Joiner earned a bachelor’s degree, magna cum laude, from Spelman College and a juris doctor from the Walter F. George School of Law, Mercer University. She is a member of Phi Beta Kappa Honor Society, Golden Key International Honour Society and Phi Delta Phi Legal Fraternity.

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Accreditation and CLE Rules for Illinois

Hot Topics in Municipal Securities and Other Fixed Income

Illinois MCLEAccreditation Info

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About This Course

The session will address the following topics:

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