Event

4th Annual Fixed-Income Legal and Compliance Roundtable

January 14, 2016
02:00 PM - 05:00 PM

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

Moderators:
Andrew Southerling
| Partner, Morgan Lewis Securities Enforcement and Litigation [link to his bio]
Angelique David | Senior Managing Director and General Counsel, Ziegler

Speakers:
Cynthia Friedlander | Director, Fixed Income Regulation, FINRA
Gail Marshall | Associate General Counsel, Enforcement Coordination, MSRB
Carl Tugberk | Assistant General Counsel, MSRB
Mark Zehner | Deputy Chief, Municipal Securities and Public Pensions Unit, SEC

The program will be followed by a networking reception. 

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