Hot Topics in Municipal Securities and Other Fixed Income

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Tennessee CLE
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About This Course

There have been a variety of recent enforcement actions related to municipal securities (e.g. 529 Plans, municipal short positions), fixed-income related rulemaking, examination priorities and other typical problems that are revealed during Member Supervision and Market Regulations reviews.

This CLE course, presented by FINRA and MSRB staff, will explain recent enforcement actions on muni shorts and 529’s as well as address a variety of topics related to municipal securities and recent and ongoing regulatory initiatives.

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.

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.

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Accreditation and CLE Rules for Tennessee

Hot Topics in Municipal Securities and Other Fixed Income

Tennessee CLEAccreditation Info

About This Course

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