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Municipal Advisors

The Commission guidance is a bid to bring greater transparency to the municipal advisor registration process
The novel SEC enforcement action charges broker-dealer with violating the municipal advisor registration rule
Future exams will feature a more prominent focus on the core standards of conduct and duties applicable to municipal advisors
The staff continued to observe deficiencies relating to supervision, including many of the same types observed in the 2017 Risk Alert
First-ever cases enforcing MSRB rule G-42 on the duties of non-solicitor municipal advisors brought
The Oct. 7 program will offer a greater understanding of complying with municipal advisor duties
RBC Capital Markets case is the third flipping enforcement action this quarter
This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as “municipal advisory firms” or “firms,” unless ...
This is the third municipal bond offerings case in four months
The suit is a bid to invalidate an order allowing MAs' to arrange private placements without registering as B-Ds

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