This municipal securities compliance training will clearly explain the MSRB (Municipal Securities Rulemaking Board) Rule-37, discuss the key elements of political contribution restrictions and prohibitions on the municipal securities business, disclosure requirements, violations and how to prevent them.
This training module draws on the expertise of veteran municipal securities compliance officers with over 40 years combined regulatory experience. In addition to discussing in detail, the elements of political contribution restrictions and prohibitions on the municipal securities business, this course will use real-world case studies to enhance your understanding of the material that can be immediately applied in the workplace. Attendees will learn the disclosure requirements for political contributions in the municipal securities business. The course will also discuss how a ban on the municipal securities business works if a political contribution violation occurs.
This training goes beyond reading the written rules and regulations from the manual. At the end of the session, a learning assessment will be conducted and our instructor will address attendees’ questions related to MSRB rule-37.
Why Should You Attend:
The Municipal Securities Rulemaking Board (MSRB) Rule G-37 was enacted to ensure the standards and integrity of the municipal securities industry are maintained and to detect and prevent fraudulent activities and violations. The rule's complexities have caused several firms to violate its requirements, resulting in bans in negotiated and/or financial advisory business as well as payments of very large fines.This training module draws on the expertise of veteran municipal securities compliance officers with over 40 years combined regulatory experience. In addition to discussing in detail, the elements of political contribution restrictions and prohibitions on the municipal securities business, this course will use real-world case studies to enhance your understanding of the material that can be immediately applied in the workplace. Attendees will learn the disclosure requirements for political contributions in the municipal securities business. The course will also discuss how a ban on the municipal securities business works if a political contribution violation occurs.
This training goes beyond reading the written rules and regulations from the manual. At the end of the session, a learning assessment will be conducted and our instructor will address attendees’ questions related to MSRB rule-37.
Areas Covered in the Seminar:
- Political contribution restrictions.
- How a BAN on the municipal securities business works if a political contribution violation occurs.
- What individuals are covered and require compliance with MSRB Rule G-37.
- Regulatory guidelines on immunogenicity of biologics; FDA, ICH, CHMP, EMEA.
- Prohibition on soliciting and coordinating/bundling political contributions.
- Prohibited from circumvention the Rule.
- Indirect contribution.
- Political party payments.
- Disclosure requirements on political contribution and municipal securities business activities.
- Real-world case studies.
Who Will Benefit:
- Investment banks/capital markets chief executive officers
- Investment firm municipal underwriters, public finance bankers, municipal traders, and/or municipal institutional sales
- Supervisors of investment firm municipal underwriters, public finance bankers, municipal traders and/or municipal institutional sales
- General bank relationship managers ('RM's') bankers/government bankers who solicit municipal securities business
- Supervisors of general bank relationship manager bankers/government bankers who solicit municipal securities business
- Retail brokers who solicit municipal securities business
- Supervisors of retail brokers who solicit municipal securities business
- Regulatory compliance officers
- Risk officers
- Internal auditors
- Risk managers
Course Provider
Kimberly McManus,
