MSRB MUNICIPAL SECURITIES COMPLIANCE SEMINAR

 

 

Monday, April 3, 2000

Marriott World Trade Center

Three World Trade Center

Grand Ballroom I

New York City

 

 

10:00   A.M.   Introduction

 

            Christopher Taylor, Executive Director

 

10:10   A.M.   MSRB's Upcoming Agenda

 

            Robert Estrada, Chairman & CEO, Estrada Hinojosa & Company

                 Dallas, Texas, and MSRB Chairman

 

10:30   Latest Rulemaking Developments; Political Contributions; Consultants

 

            Diane Klinke, General Counsel

            Ernesto Lanza, Associate General Counsel

            Carolyn Walsh, Assistant General Counsel

            Ronald Smith, Senior Legal Associate

 

11:15   Operations and Transparency

 

            Hal Johnson, Deputy General Counsel

            Larry Lawrence, Policy & Technology Advisor

            John Baughman, Senior Data Analyst and TRS Supervisor

 

12:15   Lunch

 

1:30     Electronic trading of Municipal Securities & Electronic Communication

               with Customers

 

            Diane Klinke; Hal Johnson; Ernesto Lanza

 

2:30     Enforcement update

 

            Diane Klinke; Carolyn Walsh