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FirstSouthwest Asset Management to Host 2017 Post Issuance Compliance Seminar

FirstSouthwest Asset Management, a Hilltop Holdings Company, (FSAM) will host its 24th annual Post-Issuance Compliance Seminar at the Hilton Palacio Del Rio in San Antonio, TX, on May 11th and 12th.

Since 1993, FSAM has sponsored seminars devoted exclusively to post-issuance compliance for issuers of tax-exempt obligations. To date, these seminars have been held in 14 states with more than 4,500 collective attendees.

FSAMs 2017 Post Issuance Compliance Seminar topics include:

  • Arbitrage rebate
  • Internal Revenue Service (IRS) legislative updates
  • Insights on IRS audits and trends
  • Securities and Exchange Commission (SEC) continuing disclosure
  • Post issuance written policies & procedures
  • Document retention requirements
  • Acceptable private business use of tax-exempt financed assets
  • Unspent proceeds
  • Investments alternatives
  • Financial statement reporting requirements


This year’s seminar seeks to educate issuers on their post issuance IRS and SEC compliance requirements and to provide networking opportunities with other issuers as well as compliance, investment and legal professionals. To view the conference agenda, click here.

About FirstSouthwest Asset Management’s Rebate Compliance and Consulting Practice

FSAM’s Arbitrage Rebate Compliance Services Group was established in 1987 and has performed more than 40,500 calculations for over 1,800 issuers on more than 7,800 bond issues. Today, the practice services a diverse client base of approximately 420 issuers, across 22 states, on approximately 3,000 bond issues with an aggregate par value of approximately $173 billion.

Our practice is located in Dallas, TX, and comprised of 21 professionals – including two Certified Public Accountants – who provide post issuance compliance services to issuers throughout the nation. The group’s senior rebate staff has, on average, more than 21 years of rebate compliance experience.

FSAMs Arbitrage Rebate Compliance Services Group is devoted to delivering great customer service. In fact, as a testament to our technical abilities and our commitment to maintaining a high level of customer satisfaction over time, approximately 70% of our rebate compliance and consulting clients have utilized our services for 10 years or more. To find out more, visit our website.