The BDA Legal and Compliance Roundtable, as part of the Bond Market Structure: Municipal Markets Conference at the Las Colinas Resort, was attended by over 20 senior legal and compliance professionals and included robust discussion on key regulatory and compliance issues including enforcement and exam updates.
The Roundtable featured a conversation on tax trends with outside counsel Johnny Hutchinson, partner at Nixon Peabody, who practices in areas such as public finance including tax advantaged financing.
Following the update, the group held a robust discussion between attendees on key compliance and regulatory topics such as:
- One-minute trade reporting
- Fair pricing in the FI markets
- Supervision of pricing including private placements, limited offerings, and MA transactions
- SEC’s ABS conflict of interest proposal
- Delayed Treasury spot trades
- MSRB Rules G-47 and D-15
- SEC Best Ex Rule
- OSJ/branch office designations and supervision
- Off-Channel communications
*The BDA is planning an additional Legal and Compliance Roundtable this summer and this fall, associated with our annual conference in Washington, DC. Further information including date, time, and location will be announced in the coming weeks.