Municipal Advisors

The virtual outreach to municipal market professionals will focus on compliance and regulatory matters

Broker-dealer's supervisory P&Ps did not include guidance concerning the structure and sale of mortgage-backed bonds

The release covers an assessment of risks, details on the scoping of municipal advisor exams, and the requesting of exam documents

Alerts addressed municipal advisors, investment companies, broker-dealers, marketing rule compliance, shortening the settlement cycle and security-based swap dealers

The Division is providing this information to help municipal advisors better understand the examination process and prepare for an examination

The SEC charged 12 municipal advisors for failing to maintain and preserve certain electronic communications

Regulatory and compliance issues for municipal advisors and dealers are on the agenda

Fifth Third acted as sole underwriter for 79 offerings of municipal securities where it sought to rely on the exemption but didn't satisfy the exemption’s ...

The Commission guidance is a bid to bring greater transparency to the municipal advisor registration process

"In light of this, effective disclosures regarding cybersecurity practices protect investors, ensure that an issuer’s critical systems are secure, and instill confidence that issuers have ...