Municipal Advisors

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 ...

This is the third municipal bond offerings case in four months

The suit is a bid to invalidate an order allowing MAs' to arrange private placements without registering as B-Ds

UBS circumvented the priority given to retail investors in certain muni bond offerings

Standards of conduct and fiduciary duty are featured on agenda

Municipal advisors will now have an additional 45 days to file Form MA updates

The disruptions resulting from COVID-19 mentioned above could hamper the efforts of municipal advisors to timely meet filing deadlines for annual updates to Form MA

Citing concern about potential conflicts of interest and inadequate training, FINRA has issued new guidance detailing when firms are obligated to register as municipal advisors. ...