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U.S. Securities and Exchange Commission

Panels and Participants

1999 Municipal Market Roundtable
October 14, 1999
Washington, D.C.

United States Securities and Exchange Commission
Office of Municipal Securities

OPENING REMARKS


Arthur Levitt
Chairman, SEC

PANEL I: Bringing Bonds to Market Issues Arising in Primary Offerings


Moderator & Bond Lawyer
John M. McNally
Partner
Hawkins, Delafield & Wood

Panelists
Walter P. Schuetze
Chief Accountant
SEC - Division of Enforcement

Amy Meltzer Starr
Special Counsel
SEC - Division of Corporation Finance

Issuer
J. Ben Watkins III
Director
State of Florida Division of Bond Finance

Underwriter
Barry T. Smitherman
Managing Director and National Head of Municipal Finance
Banc One Capital Markets, Inc.

Financial Advisors
William W. Cobbs
Chairman
Public Resources Advisory Group

Robert F. Sikora
President
Munistat Services, Inc.

NRMSIR
Joseph F. Sensale
Product Manager
Standard & Poor's

Investor
Christopher M. Ryon
Principal
Vanguard Fixed Income Group

PANEL II: After the Closing Issues Arising Throughout the Life of a Bond Issue


Moderator
Paul S. Maco
Director
SEC - Office of Municipal Securities

Panelists
Catherine McGuire
Chief Counsel
SEC - Division of Market Regulation

Issuers
Alan L. Anders
Director of Financing Policy and Coordination
City of New York Office of Management and Budget

Paul K. Burbine
Financial Director
Massachusetts Housing Finance Agency

Underwriter
Scott C. Sollers
Principal and Manager of the Public Finance Department
Stone & Youngberg LLC

Bond Lawyer
Monty Humble
Partner
Vinson & Elkins L.L.P.

NRMSIR
Peter J. Schmitt
President
DPC Data, Inc.

Investor
Richard A. Ciccarone
Senior Vice President
Van Kampen Investment Advisory Corp.

Financial Advisor
Robert F. Sikora
President
Munistat Services, Inc.

PANEL III: Electronic Disclosure


Moderator
Catherine McGuire
Chief Counsel
SEC - Division of Market Regulation

Panelists
Michael R. McAlevey
Deputy Director
SEC - Division of Corporation Finance

Issuer
Frank R. Hoadley
Capital Finance Director
Department of Administration, State of Wisconsin

Underwriters
Joanne Mays Becker
Vice President
J.P. Morgan Securities Inc.

Howard D. Marsh
Managing Director
Salomon Smith Barney

Financial Advisor
Mark S. Vislosky
President
Fiscal Advisors & Marketing, Inc.

Bond Lawyer
Robert A. Fippinger
Partner
Orrick Herrington & Sutcliffe LLP

MSRB
Christopher A. Taylor
Executive Director
Municipal Securities Rulemaking Board

Investor
Mary J. Miller
Municipal Department Director
T. Rowe Price Associates

PANEL IV: Fiduciary and Other Duties of Transaction Participants


Moderator
Meyer Eisenberg
Deputy General Counsel
SEC

Panelists
Paul F. Roye
Director
SEC - Division of Investment Management

Issuer
Ann Butterworth
Assistant to the Comptroller of the Treasury
State of Tennessee

Underwriter
Thomas E. Stanberry
Director of Fixed Income Capital Markets
U.S. Bancorp Piper Jaffray Inc.

Financial Advisor
Robert C. Bendzinski
Chairman
Bendzinski & Co.

Bond Lawyer
Fredric A. Weber
Partner
Fulbright & Jaworski L.L.P.

Academic
Tamar Frankel
Professor of Law
Boston University

Investor
Thomas J. Kenny
Executive Vice President and Director of Municipal Bond Department
Franklin Templeton Group

CLOSING REMARKS


Paul Maco
Director
SEC - Office of Municipal Securities

On to Panel 1...

http://www.sec.gov/info/municipal/roundtables/participants.htm


Modified:11/12/1999