Do You Have to Register as a Municipal Advisor?

 

Webinar: Do You Have to Register as a Municipal Advisor?
The Impact of New Municipal Advisor Registration Rules on SEC-Registered Investment Advisers

Thursday, December 12, 12:00 p.m. - 1:00 p.m. (ET)

Presenters

Ki P. Hong, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
Edmond Papantonio, Vice President and Corporate Counsel, Prudential Financial
Laura L. Grossman, Assistant General Counsel, IAA (Session Moderator)

Session Description

The SEC recently adopted rules that will have a substantial impact on investment advisers that engage in certain activities for a municipal entity. Absent an available exclusion or exemption from registration, advisers that meet the new definition of "municipal advisor" will need to register as municipal advisors with the SEC and with the MSRB and be subject to MSRB rules.

This webinar will discuss which advisers may rely on an exclusion or exemption, which firms must register with the SEC and the MSRB as municipal advisors, the treatment of security-based swaps in the determination of whether registration is required, how firms should begin preparing for registration with and regulation by the SEC and MSRB, and interpretive issues raised by the SEC’s rulemaking.

Register Today

Registration for the live event has closed, but the recording can still be purchased by selecting the "Registration" link on the left side of this page.

Live Recording Both
Members and Associate Members $125 $125 $200
Non-Members $200 $200 $375

Questions?

For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters

Ki P. Hong is a partner in Skadden’s New York office. He advises major corporations on the unique political law issues they face when engaging in government affairs or government procurement activity. These include federal and state campaign finance, lobbying, gift, ethics and conflict-of-interest laws. Mr. Hong also advises clients on pay-to-play laws that impose special restrictions on the political activity of companies that have or seek government contracts, as well as their covered employees. He advises clients on establishing and maintaining comprehensive systems to ensure compliance with those laws. In addition, he represents clients at the enforcement stage.
Edmond L. Papantonio is Vice President and Corporate Counsel in the U.S. Businesses Regulatory Law section at Prudential Financial, giving advice enterprise-wide on political law issues – lobbying, pay-to-play and government ethics. Prior to joining Prudential in 2010, he performed similar roles as a Director at Barclays Capital and as a Senior Vice President at Lehman Brothers. Prior to that he held other in-house positions with Swiss Bank and PaineWebber in Japan. Before working in-house, Ed was in private practice, specializing in a broad range of securities and financing transactions.
Laura L. Grossman is Assistant General Counsel at the IAA. From September 2001 until December 2012, when she joined the Investment Adviser Association, Ms. Grossman was in private practice in the New York office of Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright), where she advised registered investment adviser, mutual fund and private fund clients on matters arising under the Investment Advisers Act and other federal securities laws, the Commodity Exchange Act and associated regulations, and a wide range of compliance issues.

Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. ET Tuesday, December 10, 2013. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.