Municipal Advisors

Securities Exchange Act of 1934Section 15B -- Municipal Securities Registration of municipal securities dealersIt shall be unlawful for any municipal securities dealer (other than one ...

With the holidays passed, the SEC remains in a gift giving mood. The Commission announced last week that compliance with the final municipal advisor registration ...

This is a final rule issued by the SEC in early 2014 to extend the deadline for municipal advisors to register until July 2014.

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 ...

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 ...

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 ...