Municipal Securities

Permit us to save you time going through the 777-page final rule from the SEC on municipal advisor registration (IA Watch, Sept. 23, 2013). It's ...

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's been an expensive month for J.P. Morgan when it comes to settling SEC cases. Last week it contributed $228 million to settle charges with ...

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 ...

You have until Feb. 22 to comment to the SEC about its municipal advisor proposal (IA Watch, Jan. 17, 2011), and many in the industry ...

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.

You have until Feb. 22 to comment on the latest SEC Dodd-Frank rule, a proposal to create “a permanent registration regime with the Commission for ...

The Commission has rushed out a new rule so as to give municipal advisers a way to comply with congressional intent and register with the ...