New Municipal Advisor Regulations: Navigating Complex Registration and Exemption Rules
Understanding SEC's Regulatory Framework, MSRB Guidance, and Best Practices for Muni-Bond Market Course of Dealings
Recording of a 90-minute CLE webinar with Q&A
This CLE webinar will equip municipal lawyers with guidance on navigating the new, complex maze of municipal advisor registration and exemption rules. The panel will discuss the SEC’s regulatory framework, MSRB guidance and best practices in the muni-bond market going forward.
- SEC Municipal Advisor Rule
- SEC FAQs
- Proposed MSRBRule G-42
- Municipal advisor definition
- Municipal advisor exemptions
- Best practices for municipal bond course of dealings
The panel will review these and other key questions:
- How does the new Municipal Advisor Rule impact municipal bond issuers and borrowers?
- What individuals will be required to register? What are the exemptions to registration?
- What new techniques and processes must be implemented to continue muni-bond transactions?
David Y. Bannard
Foley & Lardner
Mr. Bannard focuses his practice on representing airports in a wide variety of matters, including leasing,... | Read More
Mr. Bannard focuses his practice on representing airports in a wide variety of matters, including leasing, financing, rate-setting and concessions agreements, as well as general public finance matters. He is an experienced bond lawyer, having served as bond counsel and counsel to borrowers and underwriters, as well as in-house issuer’s counsel, in many transactions.Close
Ellen L. Marks
Latham & Watkins
Ms. Marks is a member of the firm’s Corporate and Finance Department where she handles complex and innovative... | Read More
Ms. Marks is a member of the firm’s Corporate and Finance Department where she handles complex and innovative financial transactions and restructurings with a particular focus on securitization and structured finance. Ms. Marks also handles financial regulatory matters and has extensive knowledge of the federal securities laws, the federal banking laws and their related regulations.Close
Stephen P. Wink
Latham & Watkins
Mr. Wink is a member of the firm's Corporate Department and of the Capital Markets, Financial Regulatory,... | Read More
Mr. Wink is a member of the firm's Corporate Department and of the Capital Markets, Financial Regulatory, Investment Funds and Mergers & Acquisitions Practices. His practice focuses on advising a wide range of market players on matters involving the regulation of broker-dealers and investment advisors, market regulation, and compliance and enforcement matters.Close