Municipal Securities Activity by Broker-Dealers and Advisers 2012
March 26, 2012
CLE - Live Seminar
USA
Description
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
USA
More Information
Event's Website
