Municipal Advisors

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 ...

An SEC proposal for rules regarding the registration of municipal advisors.