Morgan Lewis Seminars

4th Annual Fixed-Income Legal and Compliance Roundtable

Thursday, January 14, 2016
02:00 PM - 05:00 PM Eastern Standard Time

Morgan Lewis and the Bond Dealers of America invite you to join us for a fixed-income legal and compliance roundtable program.

This roundtable program is designed for fixed-income legal and compliance leadership at financial services and broker-dealer firms. The program will feature senior officials from  the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and Municipal Securities Rulemaking Board (MSRB) who will discuss current market structure and rulemaking initiatives, as well as recent enforcement actions and priorities.

Topics will include:

  • State of the SEC Municipal Continuing Disclosure Cooperation Initiative
  • Market structure issues, including best execution and pricing information disclosures, extended settlements, and minimum denomination trades
  • Update on rulemaking, including core standards of conduct for municipal advisers, and supervisory obligations
  • Recent enforcement actions and anticorruption efforts