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MSRB and SIFMA to Hold Compliance Seminar on October 22, 2007

Monday, October 22, 2007 at 3:00 p.m. SIFMA's Global Markets Conference Center 360 Madison Avenue, 17th Floor, New York, NY

MSRB NOTICE 2007-30 (OCTOBER 2, 2007)

MSRB/SIFMA Meeting Materials (pdf) This file is 3MB and may take a few minutes to download.

The Municipal Securities Rulemaking Board (MSRB) and the Securities Industry and Financial Markets Association (SIFMA) are pleased to announce that they will be holding a compliance seminar regarding MSRB rules.

The seminar will be held on Monday, October 22, 2007, beginning at 3:00 p.m. at SIFMA's Global Markets Conference Center located at 360 Madison Avenue, 17th Floor, New York, NY.

Topics Will Include:

• Real-Time Transaction Reporting
• Access Equals Delivery
• Rules G-37 and G-38
• Rule G-27
• Customer Protection Obligations
• Issuance Process
• 529 College Savings Plans (Municipal Fund Securities)
• Rule G-40

Members of the MSRB legal staff will discuss recent MSRB initiatives and will be available to answer questions on a variety of topics.

Who Should Attend:
This seminar is open to members of the municipal securities community.

There is no charge for attending this important event.

CLE:
New York State CLE credit is available

 

 

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