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MSRB Notice

MSRB and BDA to Co-Host Municipal Securities Regulation Seminar in Chicago

The Municipal Securities Rulemaking Board (MSRB) and the Bond Dealers of America (BDA) will hold a municipal securities regulation seminar for all market participants on Thursday, October 11, 2012 from 8:30 a.m. to 11:30 a.m. at the Ritz-Carlton Hotel, 160 East Pearson Street, Chicago, Illinois 60611. 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 21, 2012