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:
Thursday, December 6, 2012
Program to be followed by a networking reception
Morgan, Lewis & Bockius LLP
1701 Market Street
Philadelphia, PA 19103
Conference Room 18 A/B
Morgan Lewis, Securities Enforcement and Litigation Practice
Gina E. Hyde
Janney Montgomery Scott, LLC, Chief Compliance Officer, Capital Markets
BDA, Senior Vice President, Government Relations
FINRA, Associate Director, Fixed Income Regulation
SEC Chief, Municipal Securities Unit
Former SEC Commissioner
MSRB Deputy General Counsel, Regulatory Support
CLE credit in NY, NJ, PA, TX, IL, VA, and FL is currently pending approval.