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SEC Guidance from the Division of Investment Management: Risk Management in Changing Fixed Income...
A significant reduction in dealer market-making capacity has the potential to decrease liquidity and increase volatility in the fixed income markets.
Mark Jan. 13, 2014 down if you've determined that you must register as a municipal advisor under the SEC's new rule. That's when the bulk ...
Permit us to save you time going through the 777-page final rule from the SEC on municipal advisor registration (IA Watch, Sept. 23, 2013). It's ...
This 2013 final rule from the SEC creates a regulatory regime for municipal advisors. This is a Dodd-Frank reform. Some investment advisers that are SEC-registered ...
These rules will not only serve to better protect municipalities and their citizens, but also retail investors. In fact, the vast majority of investors ...
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 MSRB is conducting a wide-scale review of its rules and related interpretive guidance.It is soliciting comments to determine whether rules or guidance should be ...
Unfortunately, even after repeated disclosure delinquencies, underwriting continues. And that appears to be more the rule than the exception. The Commission could consider cracking down ...
The SEC has extended until Sept 30, 2013 its temporary registration rule for municipal advisors (BD Week, Sept. 24, 2012). The action buys the Commission ...
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" and ...