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Contact: Leah Szarek, Chief External Relations Officer
      202-838-1500
      lszarek@msrb.org
 

 

MSRB ANNOUNCES MEMBERS OF 2021 BOARD ADVISORY GROUPS

 

Washington, DC – The Municipal Securities Rulemaking Board (MSRB) today announced the members of its continuing advisory groups. In all, 31 market professionals will share their municipal market and regulatory perspectives while serving on the MSRB’s Compliance and Municipal Fund Securities Advisory Groups.

“We are grateful that such a broad and diverse group of individuals volunteered their time and expertise to help inform the MSRB’s initiatives,” said Frank Fairman, Board member and chair of the 2021 Compliance Advisory Group.

Manju Ganeriwala, Board member and chair of the 2021 Municipal Fund Securities Advisory Group noted, “In forming the advisory groups, we take into consideration geographic diversity, gender and racial representation, and the incredible variety of firms and organizations that participate in the municipal securities market. We will continue striving to create advisory groups that are truly reflective of the market we serve.”

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For the third consecutive year, the Municipal Fund Securities Advisory Group will provide input on industry practices, guidance and investor education related to 529 savings plans and Achieving a Better Life Experience Act of 2014 (ABLE) programs.

For the fourth consecutive year, the Compliance Advisory Group will inform the MSRB’s compliance initiatives by identifying areas where compliance clarification and assistance may be warranted and by providing feedback on compliance resources and tools to enhance dealers’ and municipal advisors’ understanding of MSRB rules.

Both advisory groups will continue to be a resource to the MSRB in advancing its strategic goal of enriching stakeholder engagement. 

Advisory group members for the current fiscal year are listed below.

Compliance Advisory Group

 

  • Tania L. Askins, Managing Director, Estrada Hinojosa & Company, Inc.
  • Patricia Bredenkoetter, Director, Municipal Products Group Compliance, Wells Fargo Securities
  • Jon Bronson, Senior Vice President, Zions Public Finance, Inc.
  • Jeremy Colgan, Assistant General Counsel - Municipal Securities, J.P. Morgan
  • Scott Coya, Deputy Chief Compliance Officer Capital Markets and Operations, D.A. Davidson & Co.
  • Glenn Essert, Compliance Officer, Boenning & Scattergood, Inc.
  • Barry Fick, Executive Director, Minnesota Higher Education Facilities Authority 
  • Eric Field, Director of Capital Markets Compliance, Municipal Advisor CCO, Robert W Baird & Co., Inc.
  • Meenah Y. Kim, Executive Director, Morgan Stanley Legal Division
  • Cheryl Maddox, General Counsel and Managing Director, PFM Financial Advisors LLC
  • Rich Malone, Chief Operating Officer, Government Financial Strategies
  • Tracie Bonham Palmer, General Counsel, Post Oak Municipal Advisors LLC
  • Joseph Reece, Chief Compliance Officer, Capital Markets Group, Commerce Bank
  • Shelly Seals, Senior Compliance Advisor, Municipal Trading, Edward Jones
  • Gwendolyn M. Taylor, Senior Vice President, Senior Counsel, Benjamin F. Edwards
  • Daniel L. Wiles, Assistant Treasurer and Tax Collector, Public Finance, Investments and Deferred Income Plans Branch, County of Los Angeles

 

Municipal Fund Securities Advisory Group

 

  • Kristia Adrian, Vice President, National 529 Specialist, JP Morgan
  • Dante Q. Allen, Executive Director, CalABLE Act Board, Office of California State Treasurer
  • Karen Austin, Chief of Staff for the Iowa Treasurer of State
  • Rachel Biar, Assistant State Treasurer, Nebraska
  • Kathy Brady, Vice President and Senior Legal Counsel, T. Rowe Price Investment Services, Inc.
  • Mary Anne Busse, Managing Director, Great Disclosure LLC
  • Mark A. Chapleau, Member, Chapleau Law Group
  • Paul Curley, CFA, Director of Savings Research, ISS Market Intelligence
  • Fernando Diaz, Chief Financial Product Officer, Office of Illinois State Treasurer
  • Andrea Feirstein, Managing Director, AKF Consulting Group
  • Sandra Madden, Senior Counsel, State Street Bank and Trust Company
  • Chris McGee, General Counsel, Virginia529
  • Amanda Muir, Principal, Education Savings, Vanguard
  • Richard J Polimeni, Director, Head of Education Savings Programs, Bank of America
  • Audrey Syatt, Associate General Counsel, Ascensus

 

The Municipal Securities Rulemaking Board (MSRB) protects and strengthens the municipal bond market, enabling access to capital, economic growth, and societal progress in tens of thousands of communities across the country. The MSRB fulfills this mission by creating trust in our market through informed regulation of dealers and municipal advisors that protects investors, issuers and the public interest; building technology systems that power our market and provide transparency for issuers, institutions, and the investing public; and serving as the steward of market data that empowers better decisions and fuels innovation for the future. The MSRB is a self-regulatory organization governed by a board of directors that has a majority of public members, in addition to representatives of regulated entities. The MSRB is overseen by the Securities and Exchange Commission and Congress.

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