Dodd-Frank Municipal Advisors
How to Get Out of the Municipal Advisory Business
Broker-Dealer, Municipal Advisors The Dodd-Frank Act requires municipal advisors to register with the SEC, and as a result, with the Municipal Securities Rule Making Board, or MSRB. The question remained, once registered with the MSRB, how does an entity withdraw? The MSRB has published a rule proposal and filed it with the SEC which requires notification to the [...] Read more →
MSRB Publishes Draft Rule Governing Gifts and Gratuities by Municipal Advisors
Broker-Dealer, Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, is requesting comment on draft amendments to MSRB Rule G-20 (on gifts and gratuities), which would apply the rule to municipal... Read more →
MSRB Requests Comments on a Draft Rule and Interpretive Notices for Municipal Advisors
Broker-Dealer, Municipal Advisors The Municipal Securities Rule Making Board, or MSRB, is requesting comments on a draft rule and two interpretive notices applicable to municipal advisors. The interpretive notices... Read more →