Municipal Advisors

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

Details on exam trends and the application of exemptions and exclusions from the municipal advisor registration rules will be among the issues covered at the ...

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 significance for firms ...

This settlement concerns a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

The following discussion describes: (1) the current state of the municipal securities market and the recent developments that have begun to reshape it; (2) some ...

(a) In the event that a municipal securities dealer succeeds to and continues the business of a registered municipal securities dealer, the registration of the ...

As used in the rules and regulations prescribed by the Commission pursuant to section 15B of the Act (15 U.S.C. 78o-4) in §§240.15Ba1-1 through 240.15Ba1-8 ...

(a) Form MA. A person applying for registration with the Commission as a municipal advisor pursuant to section 15B of the Act (15 U.S.C. 78o-4) ...

A natural person municipal advisor shall be exempt from section 15B(a)(1)(B) of the Act (15 U.S.C. 78o-4(a)(1)(B)) if he or she: (a) Is an associated ...

(a) Form MA-W. Notice of withdrawal from registration as a municipal advisor shall be filed on Form MA-W (17 CFR 249.1320) in accordance with the ...