Using and Complying with the SEC’s Temporary Conditional Exemption for Municipal Advisors
This webinar will cover compliance issues associated with the Securities and Exchange Commission (SEC)'s Temporary Order of June 16, 2020. The order grants a temporary exemption for registered municipal advisors in the municipal securities markets to allow municipal advisors to perform certain solicitation activities without registering as a placement agent.
Rebecca S. Lawrence, Senior Counsel, Ballard Spahr LLP
David Levy, Managing Director, Corporate Compliance, U.S. Bancorp
Michael Decker, Senior Vice President for Federal Policy, Bond Dealers of America
Kim Magrini, Partner-Elect, Ballard Spahr LLP
This program is open to Ballard Spahr clients and prospective clients. There is no cost to attend. This program is not eligible for continuing education credits.
Please register at least two days before the webinar. Login details will be sent to all approved registrants. For more information, contact firstname.lastname@example.org.