Municipal Advisors

(a) When amendment is required—Form MA. A registered municipal advisor shall promptly amend the information contained in its Form MA (17 CFR 249.1300): (1) At ...

(a)(1) Each non-resident municipal advisor applying for registration pursuant to section 15B(a) of the Act (15 U.S.C. 78o-4(a)) shall, at the time of filing of ...

(a) In the event that a municipal advisor succeeds to and continues the business of a municipal advisor registered pursuant to section 15B(a) of the ...

(a) Every person registered or required to be registered under section 15B of the Act (15 U.S.C. 78o-4) and the rules and regulations thereunder shall ...

The registration of a municipal securities dealer shall be deemed to be the registration of any executor, administrator, guardian, conservator, assignee for the benefit of ...

A person associated, seeking to become associated, or, at the time of the alleged misconduct, associated or seeking to become associated with a municipal advisor, ...

Preliminary Note: For a discussion of disclosure obligations relating to municipal securities, issuers, brokers, dealers, and municipal securities dealers should refer to Securities Act Release ...

Four years after the SEC’s adoption of its pay-to-play rule for investment advisers, FINRA is now proposing its own. The SRO’s proposed rule is aimed ...

The SEC, FINRA and MSRB are partnering to host the first-ever Compliance Outreach Program for municipal advisors. The event will take place in Chicago at ...

This is an introductory letter sent from OCIE in August 2014 describing topics examiners may pursue when looking at entities registered as municipal advisors.