Municipal Advisors

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 ...

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.