| 9:30 a.m. |
Welcome and Opening Remarks |
| 9:45 a.m. | Draft Recommendation for Investor Education Regarding Retail Notes
- Susan Sheffield, GM Financial
- Sarah Tucker, Raymond James
- Brian Walker, Incapital
- Brad Winges, Hilltop Securities
|
| 10:45 a.m. |
Break |
| 11:00 a.m. | Draft Recommendation on Certain Principal Transactions with Advisory Clients
- Jude Arena, Bank of America Merrill Lynch
- John Bagley, MSRB
- John Cahalane, Tradeweb
- Chris Ferreri, Hartfield, Titus, and Donnelly
- Craig Noble, Wells Fargo Advisors
|
| 12:00 p.m | Lunch Break |
| 12:45 p.m | Updates from the Technology and Electronic Trading Subcommittee and ETFs and Bond Funds Subcommittee |
| 1:00 p.m. | Content and Timeliness of Municipal Issuer Disclosures
- Tom Doe, Municipal Market Analytics
- Sheila May, GW&K Investment Management
- Tom McLoughlin, UBS
- Tim Schaefer, Office of the California State Treasurer
- Kendel Taylor, City of Alexandria
- James Wallin, Alliance Bernstein
|
| 2:00 p.m. | Break
|
| 2:15 p.m. | Credit Ratings: Future Modifications or Status Quo
- Daniel Gates, Moody's Investors Service
- Yann Le Pallec, S&P Global
- Otis Otih, Mars
- Susan Sheffield, GM Financial
- Rachel Wilson, Iron Mountain
|
| 3:30 p.m. | Adjournment |
