MSRB NOTICE 2012-17 (MARCH 27, 2012)


The Municipal Securities Rulemaking Board (MSRB) and the Securities Industry and Financial Markets Association (SIFMA) will hold a municipal securities regulation seminar for all market participants on Wednesday, June 13, 2012 from 1:00 p.m. to 4:00 p.m. at the Mid-America Club, 200 East Randolph Drive, Chicago, Illinois 60601. View the agenda.

Panel discussions will address current MSRB rulemaking initiatives, including duties of underwriters to issuers, the development of rules for retail order periods, duties of municipal advisors to municipal entity clients and an update on the regulation of broker’s brokers. MSRB staff will also discuss risk-based examinations and changes to MSRB Rule G-16, conflicts of interest and changes to MSRB Rule G-23, updates to the definition of “Sophisticated Municipal Market Professional” and interpretive guidance regarding bondholder consents.

Senior staff from the Financial Industry Regulatory Authority and the Internal Revenue Service will also participate in the conference and will discuss current compliance and enforcement issues.

The seminar is open to all members of the municipal securities community, including dealers, municipal advisors, issuers and bond counsel. There is no charge to attend; however, pre-registration is required. To register for the conference, please click here.

March 27, 2012