financial products / Municipal financial products / legal services / test services / bank / online tomorrow / municipal financial product / identified traditional banking activities / /
Organization
office of Municipal Securities / office of Compliance / Professional Qualifications Advisory Committee / U.S. Securities and Exchange Commission / FINRA / Federal Reserve Bank of Chicago / Municipal Securities Rulemaking Board / Congress / MSRB's PQAC / Securities and Exchange Division / US Federal Reserve / office of Compliance / Inspections / and Examinations / Division of Enforcement / Securities and Exchange Commission / /
Person
Ed Wegener / Drew Bowden / Larry Sandor / Jessica Cain / Lawrence Sandor / Ben Techmeyer / John Cross / Steve Apfelbacher / Bob Lamb / /
Position
driver / financial advisor / general information exception / Independent Registered Municipal Advisors / advisor / board member / deputy director of our office / advisor business activities / advisors / speaker / municipal advisors / Director / Midwest Regional / vice president and Midwest Regional Director / accountant / Deputy General Counsel / Investment advisors / underwriter / first Municipal Advisor / municipal securities advisors / general information standard / independent registered municipal advisor / broker-dealer / unregulated advisors / admissible advisors / Deputy General Counsel / Regulatory Support / Deputy Director / Director / registered municipal advisor / municipal advisor / going forward / unregulated financial advisors / representative / role municipal advisors / independent advisor / financial advisors / or financial experts / Deputy Director of that office / municipal advisor / and its final registration rules / registered commodity trading advisors / lawyer / Director Midwest Regional / /
Product
FAQs / /
ProvinceOrState
Alabama / Jefferson County / Massachusetts / Kansas City / /
Date of Event: October 23, 2014 Duration of Recording: 5 hrs. 2 min. Transcript: Compliance Outreach Program for Municipal Advisors Speakers: Drew Bowden, Director, OCIE; Ed Wegener, Midwest