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MSRB NOTICE 2004-10 (MARCH 22, 2004)

MSRB AND TBMA TO HOLD COMPLIANCE SEMINAR ON MAY 18, 2004 IN CHICAGO, IL

 

 

 

The Municipal Securities Rulemaking Board and The Bond Market Association will jointly sponsor a compliance seminar to discuss current regulatory issues affecting the broker-dealer community in the municipal marketplace on Tuesday, May 18, 2004.  Speaking at the event will be William J. Jester, Jr., Chairman of the MSRB, as well as members of the legal staff of the MSRB.

The event will be held at The Mid-America Club, 200 East Randolph Drive, 80th Floor, in Chicago, IL.  The two-hour seminar will begin at 3:00 p.m. and be followed by a cocktail reception and a 6:00 p.m. dinner.  These events are open to issuers, dealers, investors and other members of the municipal market.  Those wishing to attend the compliance seminar, the reception and/or the dinner can RSVP to Susan Weiss of The Bond Market Association at sweiss@bondmarkets.com or (646) 637-9293.

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Preliminary Agenda for Compliance Seminar

I. Welcome and Introductions

II. Recent Municipal Securities Rulemaking Board Initiatives

A.    Transaction Reporting Program

• Real-time Price Reporting: Schedule and Operational Plan Status

• Dealer Feedback System

• G-14 Reminder Notices on Accuracy of Information Submitted to Transaction Reporting System

• Reporting of Block Trades and Step Out Transactions

B.     Review of Dealer Pricing Responsibilities

C.     Rules G-37 and G-38

• Proposal for Prohibiting Consultants

• Notice concerning Indirect Rule Violations

• Recent Amendments to Rule G-37

• Recent Qs and As on Rules G-37 and G-38

D.    Rules G-36 and G-32

• Electronic Delivery of Official Statements to Board

E.     Municipal Fund Securities

• 529 Plan update

• Web site on Municipal Fund Securities

F.     Other Issues

• Derivatives

• Disclosure

• Glossary of Municipal Securities Terms

III. Questions and Answers

IV. Closing

March 22, 2004

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