Municipal Advisors

If you're unclear about whether the SEC considers your firm a "municipal advisor" that must register as such with the Commission, don't hold your breath ...

On the very day that the SEC's once-delayed third-party solicitation ban in its pay-to-play rule was to take effect - June 13th - the agency ...

The MSRB might require underwriters and municipal advisors to publicly disclose payments they make, or receive, in connection with new issues of municipal securities. The ...

Two SEC commissioners last week strongly noted their opposition to the MSRB's recent directive about underwriters' obligations to issuers, saying that an adequate cost-benefit analysis ...

If you underwrite municipal securities, regulators will expect you to provide the issuer more comprehensive disclosures than you have in the past, thanks to a ...

Examiners have observed that some broker-dealers have not maintained, nor did they require the maintenance of, adequate written evidence that they complied with their obligations ...

It looks like the staff of the Municipal Securities Rulemaking Board will be busy in the months ahead. Among the items the board recently put ...

This is the rule in which the SEC extended the deadline for municipal advisors to become registered from December 31, 2011 to September 30, 2012.

Dissatisfaction with the SEC's proposed municipal advisor rule centers on how the agency plans to define a municipal employee, not the stance that RIAs that ...

Be alert. You might be required to register as a municipal advisor even if you don't really consider yourself one (IA Watch, Dec. 20, 2010).The ...