MSRB NOTICE 2012-46 (AUGUST 27, 2012)

MSRB AND SIFMA TO CO-HOST MUNICIPAL SECURITIES REGULATION SEMINAR IN NEW YORK

The Municipal Securities Rulemaking Board (MSRB) and the Securities Industry and Financial Markets Association (SIFMA) will co-host a municipal securities regulation seminar for all market participants on Tuesday, October 2, 2012 from 2:30 p.m. to 5:30 p.m. at SIFMA’s headquarters, 120 Broadway, New York, New York 10271. A reception will follow the event. View the agenda.

A panel discussion will address current MSRB initiatives, including duties of underwriters to issuers, retail order periods, the regulation of broker’s brokers and the development of risk-based examinations. MSRB staff will also discuss MSRB Rule G-23 and the prohibition on role-switching, updates to the definition of “sophisticated municipal market professional” and the MSRB’s electronic brokerage concept proposal.

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

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. Register for the seminar.

August 27, 2012