This course will examine the regulatory issues affecting (i) sales practices of securities firms and registered representatives in the sale of municipal securities and (ii) the supervisory requirements applicable to securities firms regarding the sale of municipal securities.

This presentation will be divided into two lessons:
Lesson 1 - Municipal Securities Sales Practices
Lesson 2 - Supervision of Municipal Securities Sales

Upon completing this course the student should have a good understanding of the regulatory framework affecting the activities and responsibilities of firms and registered representatives involved in the sale of municipal securities.