2nd Annual Municipal Fixed-Income Legal and Compliance Roundtable

December 06, 2012
02:00 PM - 05:00 PM

We invite you to join the Bond Dealers of America (BDA) and Morgan Lewis for a municipal securities roundtable program.

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

Topics will include:

  • Regulatory and legislative updates
  • SEC report on municipal securities
  • MSRB initiatives, including issues impacting underwriter duties and broker's brokers
  • New suitability rule implementation
  • Municipal market compliance and enforcement priorities
  • SEC Municipal Securities and Public Pensions Unit priorities
  • Focus on pay-to-play violations, including MSRB Rule G-37
  • Recent enforcement actions and coordination with other regulators and authorities

Thursday, December 6, 2012
2:00-5:00 pm
Program to be followed by a networking reception

Morgan, Lewis & Bockius LLP
1701 Market Street
Philadelphia, PA 19103
Conference Room 18 A/B

Andrew Southerling
Morgan Lewis, Securities Enforcement and Litigation Practice

Gina E. Hyde
Janney Montgomery Scott, LLC, Chief Compliance Officer, Capital Markets

Guest Speakers:
Susan Collet
BDA, Senior Vice President, Government Relations

Cynthia Friedlander
FINRA, Associate Director, Fixed Income Regulation

Elaine Greenberg
SEC Chief, Municipal Securities Unit

Rick Roberts
Former SEC Commissioner

Lawrence Sandor,
MSRB Deputy General Counsel, Regulatory Support

For more information on this event, please contact Jen Elmi at 202.204.7900 or jelmi@bdamerica.org or Meredith Brooks at 215.963.5746 or meredith.brooks@morganlewis.com.

CLE Credit:
CLE credit in NY, NJ, PA, TX, IL, VA, and FL is currently pending approval.