Municipal Advisors

The SEC charged 12 municipal advisors for failing to maintain and preserve certain electronic communications

Regulatory and compliance issues for municipal advisors and dealers are on the agenda

The Commission guidance is a bid to bring greater transparency to the municipal advisor registration process

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

This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as “municipal advisory firms” or “firms,” unless ...