Fixed Income Securities Regulatory Outlook

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About This Course

This CLE session addresses the latest regulatory focuses related to both fixed income and municipal securities, including Time of Trade disclosures, SEA Rule 15c2-11, and considerations firms should keep in mind with respect to exam priorities, findings, and enforcement actions.

This session will discuss:

Updates to SEA Rule 15c2-11
Time of Trade Disclosures, including Municipal Fund Securities and Market Discount
Transaction Reporting
Municipal short closeouts/ possession and control considerations
Reg BI, G-32 accuracy, and other examination observations

Lecturers for this Course

Gene C. Davis Bri Joiner, Esq. Justine Moritt Sean Parsons

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.

Justine Moritt

Justine Moritt is an Examination Manager in FINRA’s Division of Member Supervision. She currently leads a team in the Fixed Income Specialists Examination group. Her team is responsible for conducting reviews of both TRACE-Eligible and Municipal Securities within FINRA’s examination program.

Prior to this role, she worked in several other FINRA departments including legacy Risk Oversight & Operational Regulation and Diversified Examinations. She holds a Bachelor of Science degree in Business Administration: Finance from Wagner College.

Sean Parsons

Sean Parsons is an Examination Director in FINRA’s Division of Member Supervision. He currently leads teams in the Fixed Income Specialists Examination group. His teams are responsible for conducting reviews of both TRACE-Eligible and Municipal Securities within FINRA’s cycle examination program.

Prior to joining FINRA in 2015, Sean spent six years working on the floor of the NYSE and spent the remaining part of his career in various fixed income sales and trading roles at several Institutional Broker Dealers. He holds his B.S. from University of South Florida.

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Fixed Income Securities Regulatory Outlook

About This Course

This session will discuss:

Lecturers for this Course

Spend less and get more

Dedicated CLE Manager

Riveting Content & an Exceptional Library

Free Customized CLE Tracker

Online, Audio CD, DVD, iOS/Android App, USB Stick

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