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Municipal Securities Activity by Broker-Dealers and Advisers 2012

 March 26, 2012

CLE - Live Seminar


The Dodd-Frank Act and related developments ushered in new rules for broker-dealers and advisers in the municipal market arena.  This program will provide attendees with a solid foundation in the regulatory regime applying to broker-dealer and adviser municipal securities activity.  Discussion will include the interplay between the SEC, FINRA, and MSRB with respect to municipal activity and offer practical compliance considerations.

  • The SEC’s Municipal Adviser Rule
  • Pay-to-play rules
  • The MSRB Rulebook
  • FINRA guidance re: broker-dealer sales of municipal securities

Organized by

Practising Law Institute
810 Seventh Avenue
New York, New York

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