Episode Synopsis "Municipal Advisor Considerations in Preparing for Examination"

Municipal advisors are periodically examined by the U.S. Securities and Exchange Commission, the Financial Industry Regulatory Authority, Inc. and other regulatory authorities for compliance with Municipal Securities Rulemaking Board rules. This episode discusses considerations for municipal advisors when preparing for a review by an examining authority. The MSRB Podcast expands the array of existing, market education resources provided by the MSRB, including an online Education Center and compliance resources, and its eLearning platform, MuniEdPro®.

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