Washington, DC – The Municipal Securities Rulemaking Board (MSRB) today announced the members of its new and continuing advisory groups that will advise the MSRB Board of Directors during the current fiscal year. The MSRB previously announced the addition of advisory groups focused on retail investors and municipal fund securities, and the second year of a regulatory compliance-focused advisory group, to provide the Board with focused, expert input on MSRB initiatives and to enhance stakeholder engagement.
“The MSRB is grateful for the commitment advisory group members are making to help enhance oversight of the municipal securities market,” said Gary Hall, Chair of the MSRB Board of Directors. “We value their perspective, and look forward to benefiting from their expertise in real-time.”
Twenty-nine market professionals representing diverse market perspectives and organizations are serving on the MSRB’s Compliance Advisory Group, Retail Investor Advisory Group and Municipal Fund Securities Advisory Group. The groups will meet periodically with Board member liaisons throughout fiscal year 2019 to facilitate Board-member access to additional market knowledge from a variety of professionals and other experts.
The Compliance Advisory Group will provide input to the Board to inform the MSRB’s long-term strategic goal to facilitate industry understanding of and compliance with MSRB rules. The Retail Investor Advisory Group will provide input to the Board on rules, market practices, transparency and education related to retail investor protection issues. The Municipal Fund Securities Advisory Group will provide input to the Board on municipal market rules, practices, transparency and education related to municipal fund securities, including 529 savings plans and ABLE programs. Advisory group members for the current fiscal year are listed below.
Compliance Advisory Group
Kathy Aho, President, Springsted Incorporated
Jonas Biery, Business Services Manager, Bureau of Environmental Services, City of Portland
Mark Borrelli, General Counsel, Hutchinson, Shockey, Erley & Co.
Joey Frebes, Senior Vice President, KeyBanc Capital Markets
George Hinchcliff, Director, FIC Compliance Advisory, RBC Capital Markets
Phil Jerome, Managing Director, Compliance, Charles Schwab & Co., Inc.
Ben Juergens, Executive Director, Morgan Stanley
Leo Karwejna, Managing Director and Chief Compliance Officer, PFM Financial Advisors
Jessica LeBlanc, Senior Compliance Manager, Edward Jones
Kathy Weatherholt, Vice President, Compliance, George K. Baum & Company
Mark Young, Managing Director, KNN Public Finance, LLC
Retail Investor Advisory Group
Jack Blumenthal
Matthew Boardman, Managing Director and Head, US Wealth Management Fixed Income, RBC Wealth Management
Joseph Brady, Executive Director, North American Securities Administrators Association
Chris Kendall, Vice President, Fixed Income Trading, Charles Schwab & Co., Inc.
Wesley Ringo, Senior Advisor, Legal and Regulatory, Capital Forensics, Inc.
Anne Ross, Muni Credit & Compliance Advisors LLC
Joseph Spivack, Angel Investor, Spivack & Company
Stephen Winterstein, Managing Director of Research and Head of Municipal Strategy, Wilmington Trust Investment Advisors, Inc.
Municipal Fund Securities Advisory Group
Mary Anne Busse, Managing Director, Great Disclosure LLC
James Canup, Partner, Hirschler Fleischer
Paul Curley, Director of College Savings Research, Strategic Insight
Andrea Feirstein, Managing Director, AKF Consulting Group
Nathan Groff, Owner and Senior Executive Officer, Intuition LLC
John Heywood
Mary Lehman, Senior Director, Tuition Financing, 529 College Savings Program Manager, TIAA
Sandy Madden, General Counsel, Ascensus Government Spending
Christopher T. McGee, General Counsel, Virginia 529 | ABLEnow
Jennifer Selliers, Director of Internal Compliance, State of Tennessee Department of Treasury
Date: October 30, 2018
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