Regulatory Requirements and Technology
Complimentary Web Seminar
June 12, 2014
2 pm ET/11 am PT
The SEC recently approved a new MSRB rule regarding Time-of-Trade Disclosure to retail and non-SMMP investors and an amended MSRB rule regarding suitably. These rules will be effective July 5, 2014.
While characterized as a “codification,” the new rule’s requirements have caught many by surprise. The introduction of new/amended rules, advances in technology and practices of other market participants should be cause for re-examination of policies, procedures and what is actually being done when you buy or sell a muni bond.
Topics will include:
- Review of New and Amended Rules
- G-47 – Time-of-Trade
- G-19 – Suitability
- Supervision
- Current Practices
Presenters:
Gregg L. Bienstock Esq.
CEO and CO-Founder of Lumesis, Inc.
Pamela Peterson,
Associate General Counsel
UBS Wealth Management