The Tax & Securities Law Institute (TSLI) panel session, “Am I a Municipal Advisor and, if so, so What?” is expected to include a robust dialogue among government (SEC), quasi-government (MSRB), and interest group (SIFMA) representatives and practicing public finance lawyers about the SEC’s final municipal advisor rules and the MSRB’s recently proposed business conduct rules for municipal advisors. While the SEC rules have been stayed to July 1, the statutory Dodd-Frank provisions are currently effective, and prospective underwriters, financial advisors, public finance lawyers, and others are wrestling with what the provisions mean and how to comply with them.
Attend this panel and learn how to serve clients and protect yourselves. Get answers to your questions: What may your underwriting clients say to issuers without registering? Does the answer depend on whether they are banks? How can your issuer clients retain access to useful ideas before commencing an offering? What are the fiduciary burdens of being a municipal advisor? What may lawyers say to their clients and other finance team members? Should law firms adopt policies and procedures to protect their public finance lawyers and firm management? If so, what should they say? Learn about more TSLI panel sessions or register today.
http://www.nabl.org/education/event/Tax-Securities-Law-Institute