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Keywords: Municipal advisor
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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
The SEC’s Municipal Advisor Rule will prompt new practices for market participants
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (2): 10–17.
Published: 03 June 2014
...David Bannard; Reed Groethe Purpose – To explain the new Municipal Advisor Rule that will take effect on July 1, 2014, which regulates persons and firms that provide advice to municipal issuers and obligated parties regarding municipal financial products or the issuance of municipal securities...
