Event Recap: BDA Hosts Fixed Income Legal and Compliance Roundtable Webinar

*A Video Recording of Event Included*

Yesterday, the BDA hosted representatives from the SEC, FINRA and the MSRB for its bi-annual Fixed Income Legal and Compliance Roundtable. 75 fixed income professionals from over 35 firms participated in this roundtable at which pressing regulatory and legal issues were discussed.

A video recording of the event can be viewed here

The webinar was moderated by Dan Deaton, Nixon Peabody and featured:

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

The event featured extensive conversation on currently regulatory matters such as:

  • The Recent SEC Staff Bulletin;
  • Ongoing Efforts Around Municipal Disclosure During COVID-19;
  • The Proposed SEC Exemptive Order on Private Placements;
  • Recent MSRB A-3 Draft Amendments;
  • MSRB G-17 Implementation; and
  • FINRA Transformation

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