3rd Annual Municipal Fixed-Income Legal and Compliance Roundtable

January 15, 2015
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), and Municipal Securities Rulemaking Board (MSRB), who will discuss examination and enforcement priorities, as well as current rulemaking and disclosure initiatives.

Topics will include:

  • SEC’s Municipalities Continuing Disclosure Cooperation Initiative
  • Regulatory efforts and rulemaking to enhance primary and secondary market disclosures
  • “Best-ex” for municipal securities
  • MSRB’s 2015 agenda
  • Regulator pay-to-play and anti-corruption efforts
  • Update on municipal advisor rulemaking and regulation
  • A discussion of recent enforcement actions

January 15, 2015 | 2:00-5:00 pm
Program to be followed by a networking reception.

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

David Levy, Managing Director, US Bancorp | Corporate Compliance
Andrew Southerling, Partner, Morgan Lewis | Securities Litigation and Enforcement Practice

Cynthia Friedlander, Director, FINRA | Fixed Income Regulation, Regulatory Operations – Shared Services
Lawrence Sandor, Deputy General Counsel, MSRB | Regulatory Support
Mark Zehner, Deputy Chief, SEC | Municipal Securities and Public Pensions Unit

For more information on this event, please contact Jen Elmi at + or jelmi@bdamerica.org or Meredith Brooks at +1.215.963.5746 or meredith.brooks@morganlewis.com.

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