Fixed Income Securities Regulatory Outlook

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Rhode Island MCLE
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United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

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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.
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