Before the Bell Breakfast Forum: The SEC's New Focus on the Municipal Market
Area investment advisors, registered representatives and trust officers are invited to join Miller Canfield lawyers Amanda Van Dusen, leader of the Public Law and Schools practice groups, and Jerry Rupley, bond and underwriter's counsel while they discuss the increased focus on the municipal market by the SEC, MSRB, FINRA and the CFTC.
- Enforcement Division: New Municipal Securities and Pensions Unit
- What Can Trigger an SEC Investigation
- Harrisburg, South Miami Enforcement Actions
- Application of and interplay between Rules G-17 and G-23
- Enforcement by FINRA
Dodd Frank (CFTC)
7:15 AM - 8:30 AM
The Townsend Hotel
There is no cost to attend; space is limited to registered representatives, investment advisors and trust officers; advance reservations required.
Sandy Bera 248.267.3345