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Keywords: Municipal Securities Rulemaking Board (MSRB)
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Journal Articles
MSRB publishes 2017 compliance advisory for broker-dealers
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (1): 50–52.
Published: 08 May 2018
...Scott R. Anderson; James Audette; Kate S. Poorbaugh Purpose To summarize the Municipal Securities Rulemaking Board’s 2017 Compliance Advisory for brokers, dealers and municipal securities dealers. Design/methodology/approach Summarizes several Municipal Securities Rulemaking Board (MSRB) rules...
Journal Articles
The municipal advisor regulatory framework – where we are and where to next
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (1): 53–57.
Published: 02 May 2017
...Ernesto Lanza Purpose To describe the status of municipal advisor rulemaking by the US Securities and Exchange Commission (SEC) and Municipal Securities Rulemaking Board (MSRB), and regulatory compliance approaches, under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank...
Journal Articles
MSRB and FINRA issue joint notice cautioning broker-dealers and municipal advisors about bank loans
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (3): 52–54.
Published: 05 September 2016
...Juliet H. Huang; James C. Burr; Richard A. Cosgrove; Nathan H.B. Odem Purpose To alert lenders, broker-dealers and municipal advisors to a joint regulatory notice from the Municipal Securities Rulemaking Board (“MSRB”) and the Financial Industry Regulatory Authority (“FINRA”) regarding direct...
Journal Articles
MSRB publishes its first compliance advisory for broker-dealers
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (3): 49–51.
Published: 05 September 2016
...Scott R. Anderson; Kate S. Poorbaugh Purpose To summarize the Municipal Securities Rulemaking Board’s 2016 Compliance Advisory for brokers, dealers and municipal securities dealers. Design/methodology/approach Summarizes several Municipal Securities Rulemaking Board (MSRB) rules...
Journal Articles
SEC approves new municipal advisor fiduciary duty rule
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (2): 43–49.
Published: 04 July 2016
.... Stephen Wink can be contacted at: stephen.wink@lw.com © 2016 Latham & Watkins LLP 2016 Licensed re-use rights only Duty of care Fiduciary Duty of loyalty Municipal advisors Municipal Securities Rulemaking Board (MSRB) On December 23, 2015, the Securities and Exchange Commission...
