Afternoon Session: 1:30 p.m. - 5:00 p.m.
1:30 Overview of the Municipal Securities Regulatory Framework
- Who are the players?
- How do the regulators interact?
- How do the ‘33Act and ‘34 Act regulate municipal securities?
Maurine R. Bartlett, Robert A. Fippinger, David Levy
2:30
Networking Break
2:45
Municipal Advisors
- The SEC’s new Municipal Advisor Rule
- Who is a municipal advisor?
- MSRB municipal advisor registration and related initiatives
Maurine R. Bartlett, Robert A. Fippinger, David Levy
4:00
MSRB and FINRA Developments
- The MSRB Rulebook
- EMMA: current resources and future functionality
- FINRA monthly report card: material event disclosure in the primary market
(David Levy to moderate) Cynthia Friedlander, Ernesto A. Lanza
Chairperson(s)
Speaker(s)
Ernesto A. Lanza ~ Deputy Executive Director, Municipal Securities Rulemaking Board (MSRB)
David Levy ~ Managing Director, Corporate Compliance, US Bancorp
Program Attorney(s)
New York City Seminar Location
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