Fixed Income Legal & Compliance Roundtable

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Fixed Income Legal & Compliance Roundtable

April 05, 2021

Webinar

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Summary

April 5, 2021
3 - 5pm ET
Webinar

Featured Speakers

Cynthia Friedlander, Director, Fixed Income Regulation, FINRA
Gail Marshall, Chief Compliance Officer, MSRB
Rebecca Olsen, Director, Office of Municipal Securities, SEC

Moderated by: Dan Deaton, Nixon Peabody & Brett Bolton, Bond Dealers of America

Topics of Discussion

Remote Supervision during and After COVID
Harmonization of MSRB and FINRA Rules, Particularly with regard to Supervision
Form G-32 Implementation
Next steps in MSRB’s Interpretive Guidance Initiative
Relative Contributions of Dealers and Municipal Advisors to MSRB’s Revenues
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