Continue Reading MSRB Publishes Draft Rule Governing Gifts and Gratuities by Municipal Advisors

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Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Thus, the staff believes that the SEC likely will not have sufficient capacity in the near or long term to conduct effective examinations of registered investment advisers with adequate frequency. …
Continue Reading SEC Staff Concludes Insufficient Capacity to Examine Investment Advisers