Municipal Advisors

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

This matter involves violations of an antifraud provision of the federal securities laws in connection with Respondent’s underwriting of certain municipal securities offerings. Respondent, a registered ...

Details on exam trends and the application of exemptions and exclusions from the municipal advisor registration rules will be among the issues covered at the ...

Mark July 31 as the official start of the pay-to-play rule’s long delayed ban on third-party solicitation. However, the compliance date loses significance for firms ...

This settlement concerns a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

The following discussion describes: (1) the current state of the municipal securities market and the recent developments that have begun to reshape it; (2) some ...

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 ...

As used in the rules and regulations prescribed by the Commission pursuant to section 15B of the Act (15 U.S.C. 78o-4) in §§240.15Ba1-1 through 240.15Ba1-8 ...

(a) Form MA. A person applying for registration with the Commission as a municipal advisor pursuant to section 15B of the Act (15 U.S.C. 78o-4) ...