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MSRB, SIFMA to Co-Host Muni Seminar
March 29, 2012
The MSRB and SIFMA will hold a municipal securities regulation seminar for municipal market participants on Wednesday, 6/13/12 to address current MSRB rulemaking initiatives, including: (i) duties of underwriters to issuers; (ii) development of rules for retail order periods; (iii) duties of muni advisors to municipal entity clients; and, (iv) an update on the regulation of broker’s brokers.
MSRB staff also will discuss: (i) risk-based examinations and changes to MSRB Rule G-16; (ii) conflicts of interest and changes to MSRB Rule G-23; (iii) updates to the definition of “Sophisticated Municipal Market Professional” and interpretive guidance regarding bondholder consents.
Senior staff from FINRA and the IRS also will participate in the conference to discuss current compliance and enforcement issues.
Who Can Attend. All members of the muni securities community, including dealers, municipal advisers, issuers, and bond counsel. There is no charge, but pre-registration is required. Register for the seminar.
For further details, and to register for the seminar, go to: [MSRB, 3/27/12].

