Municipal Securities

The registration of a municipal securities dealer shall be deemed to be the registration of any executor, administrator, guardian, conservator, assignee for the benefit of ...

(a) Notice of withdrawal from registration as a municipal securities dealer pursuant to Section 15B(c) (15 U.S.C. 78o-4(c)) shall be filed on Form MSDW (17 ...

A person associated, seeking to become associated, or, at the time of the alleged misconduct, associated or seeking to become associated with a municipal advisor, ...

The rule appears easy enough to understand. If you sell high-yield municipal bonds to retail investors, you must sell them in lots of $100,000 or ...

Securities Exchange Act of 1934Section 15B -- Municipal Securities Registration of municipal securities dealersIt shall be unlawful for any municipal securities dealer (other than one ...

Although it doesn't affect investment advisers directly, the program announced last week by the SEC's Enforcement Division to lure self-reporting of violations related to the ...

With the holidays passed, the SEC remains in a gift giving mood. The Commission announced last week that compliance with the final municipal advisor registration ...

This is a final rule issued by the SEC in early 2014 to extend the deadline for municipal advisors to register until July 2014.

A significant reduction in dealer market-making capacity has the potential to decrease liquidity and increase volatility in the fixed income markets.

Mark Jan. 13, 2014 down if you've determined that you must register as a municipal advisor under the SEC's new rule. That's when the bulk ...