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Political Contributions and Prohibitions on the Municipal Securities Business

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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.

Instructor: Kimberly McManus
Product ID: 702798
Training Level: Intermediate to Advanced

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:

Who Will Benefit:

Instructor Profile:

Kimberly McManus, is currently President of Alternative Regulatory Solutions, LLC (ARS), a compliance consulting firm she founded in July 2009 that has created unique training modules for specific MSRB Rules. Ms. McManus has extensive experience in fixed income compliance, with expertise in the municipal market. In her latest role as Managing Director of Municipal Compliance with Wachovia Corporation, she was responsible for assessing and managing regulatory risk for public finance/government banking, bond trading and syndicate, sales (both institutional and retail), operations, and derivative/structured products within the Municipal Products Group. Ms. McManus was extremely instrumental in regulatory exams, inquires and investigations with the IRS, SEC, OCC, DOJ, FINRA and States Attorney General Offices.

Topic Background:

The MSRB Rule G-37 promotes the equitable principles of trade and ensures a perfect free and open market and protects investors and the public interest.

MSRB Rule G-37 works on the following principles:

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Refund Policy
Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance.
ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

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COSO Framework for Internal Controls, Risk Assessment and Financial Statement Audit - 80225SEM

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Training Options Training Duration = 60 Min
$199.00 Access Recorded Version Only
One Person - Unlimited viewing for 6 Months
(For multiple licenses contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section
$399.00 Get Training CD Only
One CD is for usage in one location only.
(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days