Fixed Income 

Legal & Compliance Roundtable

The Ritz Carlton Hotel

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October 8-9, 2015         |        Denver, CO

In conjunction with BDA's National Fixed Income Conference, we are pleased to invite you to an industry roundtable focused on Legal & Compliance issues to be held on Wednesday, October 9, 2013 from 2:00pm - 5:00pm at the Ritz Carlton Hotel and immediately followed by dinner. 

The roundtable will consist of dealer to dealer discussion with a focus on your legal & compliance challenges including regulatory developments and challenges and the impact on middle market dealers. 

The Agenda will consist of a variety of issues directly impacting your business including:

• Best Execution in the Municipal Market
• Pre and Post-trade Disclosure Obligations
• FINRA Front Running Rule 
• TMPG Margining Requirements
• TRACE Reporting and New Issue CUSIPs
• Branch Office Inspections / Exams
• Enforcement Developments Regarding Unfair Pricing Violations
• SEC Rule 15c3-5 Compliance Concerns

To register for the industry roundtable, please click [here.]

To register for BDA's National Fixed Income Conference on October 10 & 11or for more information on featured speakers and to view the conference agenda, click [here.]