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Structuring a Broker-Dealer Supervisory Program

Recorded on: Apr. 5, 2012
Running Time: 01:11:56

Full Transcript:


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Taken from the Web Program Municipal Securities Activity by Broker-Dealers and Advisers 2012 recorded March, 2012 in New York.

Lecture Topics  [01:11:56]

Structuring a Broker-Dealer Supervisory Program  [01:11:56]
  • MSRB municipal advisor registration and related initiatives
  • Practical considerations re: continuous disclosure obligations
  • Developing a supervisory program for 529 plans
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Municipal Advisor Registration and Regulation
    Maurine R. Bartlett
  • 529 Plan Issues: Disclosure Obligations and Practices
    Maurine R. Bartlett
  • Summary of the 2010 Annual Survey of Public-Employee Retirement Systems: State-Administered Pensions
    Weiyen Jonas
  • U.S. Bureau of Labor Statistics Compensation and Working Conditions Online: The Structure of State and Local Government Retirement Benefits, 2008
    Weiyen Jonas
  • U.S. Securities and Exchange Commission Proposed Rule 17 CFR Parts 240 and 249 [Release No. 34-63576]: Registration of Municipal Advisors, Federal Register Vol.76, No.4, January 6, 2011
    Weiyen Jonas
  • Comment Letters to U.S. Securities and Exchange Commission Proposed Rule on the Registration of Municipal Advisors
  • Governmental Pension Plans: Municipal Entities and Investment Strategies?
    Weiyen Jonas

Presentation Material

  • Structuring a Broker-Dealer Supervisory Program
    Weiyen Jonas
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