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Municipal Advisors (22)
Your search for Municipal Advisors returned 22 results.
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11/13/2017 | Content area: Investment Adviser
Municipal Advisors should take steps to educate themselves regarding their compliance obligations. Exam staff frequently observed deficiencies in MA c...
8/24/2017 | Content area: Investment Adviser | Broker-Dealer
The 2013 amendment failed to meet certain prerequisites expressly required by the City’s prior continuing disclosure agreements. Respondents failed to...
12/03/2015 | Content area: Investment Adviser
Details on exam trends and the application of exemptions and exclusions from the municipal advisor registration rules will be among the issues covered...
6/26/2015 | Content area: Investment Adviser
Mark July 31 as the official start of the pay-to-play rule’s long delayed ban on third-party solicitation. However, the compliance date loses signific...
6/18/2015 | Content area: Investment Adviser
This settlement concerns a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, u...
2/13/2015 | Content area: Investment Adviser | Broker-Dealer
The following discussion describes: (1) the current state of the municipal securities market and the recent developments that have begun to reshape it...
10/07/2014 | Content area: Investment Adviser
The SEC, FINRA and MSRB are partnering to host the first-ever Compliance Outreach Program for municipal advisors. The event will take place in Chicago...
8/20/2014 | Content area: Investment Adviser
This is an introductory letter sent from OCIE in August 2014 describing topics examiners may pursue when looking at entities registered as municipal a...
9/18/2013 | Content area: Investment Adviser | Broker-Dealer
These rules will not only serve to better protect municipalities and their citizens, but also retail investors. In fact, the vast majority of investo...
5/20/2013 | Content area: Investment Adviser | Broker-Dealer
The heat is on again for the SEC to issue a revised - and final - definition of "municipal advisor" that isn't as wide-ranging as the controversial ve...
12/24/2012 | Content area: Investment Adviser | Broker-Dealer
The MSRB is conducting a wide-scale review of its rules and related interpretive guidance.It is soliciting comments to determine whether rules or guid...
10/24/2012 | Content area: Investment Adviser
Unfortunately, even after repeated disclosure delinquencies, underwriting continues. And that appears to be more the rule than the exception. The Comm...
10/01/2012 | Content area: Investment Adviser | Broker-Dealer
The SEC has extended until Sept 30, 2013 its temporary registration rule for municipal advisors (BD Week, Sept. 24, 2012). The action buys the Commiss...
10/01/2012 | Content area: Investment Adviser
Last week's Federal Register included the SEC's new final rule announcing the agency won't meet the Sept. 30th deadline to define a "municipal advisor...
9/24/2012 | Content area: Investment Adviser | Broker-Dealer
If you're unclear about whether the SEC considers your firm a "municipal advisor" that must register as such with the Commission, don't hold your brea...
6/18/2012 | Content area: Investment Adviser
On the very day that the SEC's once-delayed third-party solicitation ban in its pay-to-play rule was to take effect - June 13th - the agency published...
6/11/2012 | Content area: Investment Adviser | Broker-Dealer
The MSRB might require underwriters and municipal advisors to publicly disclose payments they make, or receive, in connection with new issues of munic...
5/21/2012 | Content area: Investment Adviser | Broker-Dealer
Two SEC commissioners last week strongly noted their opposition to the MSRB's recent directive about underwriters' obligations to issuers, saying that...
5/14/2012 | Content area: Investment Adviser | Broker-Dealer
If you underwrite municipal securities, regulators will expect you to provide the issuer more comprehensive disclosures than you have in the past, tha...
2/20/2012 | Content area: Investment Adviser | Broker-Dealer
It looks like the staff of the Municipal Securities Rulemaking Board will be busy in the months ahead. Among the items the board recently put on the s...


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