Fixed Income Securities Regulatory Outlook

SKU: SEC077 Back to Course Listings

Illinois MCLE
Accreditation Info

Courses purchased through UnitedCLE.com are provided and fully accredited by The National Academy of Continuing Legal Education, an Accredited CLE Provider in Illinois. To view our full accreditation details please .

All Courses Available iOS/Android Web

About This Course

This CLE session will delve into the most recent regulatory developments impacting fixed income and municipal securities. This comprehensive session will cover crucial topics such as Time of Trade disclosures, updates to SEA Rule 15c2-11, and critical insights for firms navigating examination priorities, findings, and enforcement actions.

Key points of discussion will include:

The latest amendments to SEA Rule 15c2-11.
Detailed analysis of Time of Trade disclosures, with a focus on Municipal Fund Securities and Market Discount.
An overview of transaction reporting requirements.
Important considerations for municipal short closeouts and possession/control issues.
Examination insights related to Regulation Best Interest (Reg BI), the accuracy of G-32 submissions, and other significant regulatory observations.
Stay informed and ensure your firm is prepared for the evolving regulatory landscape in fixed income and municipal securities.

Lecturer Bios

Gene C. Davis

Gene C. Davis is Director of FINRA’s Fixed Income Specialist Team. The Fixed Income Specialist Team is responsible for conducting higher risk fixed income examinations and those of firms engaged in a material fixed income business.

Mr. Davis has been with FINRA (formerly NASD) since February 1997 and has participated in numerous matters of member firms engaged in a myriad of fixed income business lines.

Mr. Davis has completed the FINRA Institute at Wharton Certificate Program, obtaining the Certified Regulatory and Compliance Professional™ (CRCP™) designation in 2004.

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.

Justine Moritt

Justine Moritt is an Examination Manager in FINRA’s Division of Member Supervision. She currently leads a team in the Fixed Income Specialists Examination group. Her team is responsible for conducting reviews of both TRACE-Eligible and Municipal Securities within FINRA’s examination program.

Prior to this role, she worked in several other FINRA departments including legacy Risk Oversight & Operational Regulation and Diversified Examinations. She holds a Bachelor of Science degree in Business Administration: Finance from Wagner College.

Sean Parsons

Sean Parsons is an Examination Director in FINRA’s Division of Member Supervision. He currently leads teams in the Fixed Income Specialists Examination group. His teams are responsible for conducting reviews of both TRACE-Eligible and Municipal Securities within FINRA’s cycle examination program.

Prior to joining FINRA in 2015, Sean spent six years working on the floor of the NYSE and spent the remaining part of his career in various fixed income sales and trading roles at several Institutional Broker Dealers. He holds his B.S. from University of South Florida.

Build a
Bundle

Build the CLE course package you want at discounted prices.

Build your bundle

Quickest • Most Cost Effective

One Stop Bundles

Most popular option for quickly satisfying your CLE.

Deep Bundle Discount

Browse Bundles

Individual Courses

Complete catalog of CLE Courses for quick, targeted, custom CLE satisfaction.

Choose courses

United Makes CLE Easy

One.

Select Course Package

Unlimited CLE

Enables you to fulfill multiple CLE cycles with one purchase.
One-Stop Bundles

Our most popular courses bundled to save you time and money.
Build-A-Bundle

Select the courses that interest you most while taking advantage of our bundle discount.

Two.

Immediate Access to CLE Courses

Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.

Courses can be started, stopped, and paused at any time.

Three.

Instantly Print Your Certificate

You can immediately print your CLE certificate upon completion of a course.

A copy of your certificate will remain in your account and will always be accessible to you.

Create Your Account Now

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize Options

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

Please fix the following errors:

Email:

Admitted State:

Admitted in more than one state?

Bar/Reg/ID #

Leave blank if you don't have one or wish to provide it later

Admitted States:

For even more customized results, please provide your name and phone number (optional).

First Name (optional):

Last Name (optional):

Phone (optional):

We promise to respect your privacy.

You have successfully been added to our mailing list!

Accreditation and CLE Rules for Illinois

Fixed Income Securities Regulatory Outlook

Illinois MCLEAccreditation Info

About This Course

Key points of discussion will include:

Build a Bundle

One Stop Bundles

Individual Courses

United Makes CLE Easy

One.

Select Course Package

Two.

Immediate Access to CLE Courses

Three.

Instantly Print Your Certificate

Want Different Options?

Subscribe for Course Updates and News

Subscribe for Course Updates and News

Please provide us with your licensed state(s) so we can send you content relevant to you.

Select your admitted states

Use the form below to select the states where you have been admitted to the bar. You may also provide your bar number for each state.

Admitted State:

For even more customized results, please provide your name and phone number (optional).

You have successfully been added to our mailing list!

Chat With a CLE Specialist

Use the form below to send a message to our team of highly-trained CLE Specialists. Or call us at 312-796-0157.

Your message has been sent to our team of CLE Specialists. We will get back to you shortly!

Illinois MCLE
Accreditation Info

Build a
Bundle