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MSRB Rule G-14: Reports of Sales or Purchases (RTTR) and FINRA Rule 6700: Trade Reporting and Compliance Engine (TRACE)

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Date: 14-May-13 to 14-May-13
Location: Online Event / California / United States
Category: Banking, Finance & Investment Conferences & Trade Fairs

The MSRB and FINRA compliance training will teach you all of the complicated aspects of RTTR (Reports of Sales or Purchases) and TRACE (Trade Reporting and Compliance Engine) in a way that is laid out for ease of understanding and learning.

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Risk Officers,Internal Auditors,Risk Managers

Exhibitors

Kimberly McManus, is currently President of Alternative Regulatory Solutions, LLC (ARS), a compliance consulting firm she founded in July 2009. Alternative Regulatory Solutions, LLC was established to provide Firms with fixed income and municipal regulatory guidance. In this capacity, ARS has contracted with large national firms, regional firms, and small boutique firms by performing various regulatory functions. ARS has created unique training modules for specific MSRB Rules. Ms. McManus has extensive experience in fixed income compliance, with expertise in the municipal market. Prior to establishing ARS, she had over twenty years’ experience with regional and national broker dealers in both the compliance and audit fields. In her latest role as Managing Director of 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. She was extremely instrumental in regulatory exams, inquires and investigations with the IRS, SEC, OCC, DOJ, FINRA and States Attorney General Offices. Prior to spending eighteen years at Wachovia (including its predecessor firms),

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