Municipal Advisors

"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 ...

"We also have a role as a cop on the beat. We recently charged four underwriters for disclosure-related violations while offering municipal bonds"

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

The syndicate desk allocated oversubscribed bonds to orders for flippers ahead of institutional customer and dealer orders. RBC failed reasonably to implement the WSPs it ...

New WSPs and P&Ps concerning municipal trading, sales, and underwriting implemented by Hilltop Securities