Municipal Advisors

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SEC Invites Regulated Entities to Voluntarily Submit Self-Assessments of Diversity Policies and Practices

By Steve Quinlivan on 01/25/2018

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MSRB Warns Municipalities, Underwriters and Municipal Advisors about Selective Disclosure

By Steve Quinlivan on 09/13/2017

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SEC Brings First Action under Dodd-Frank Municipal Advisor Antifraud Rules

By Steve Quinlivan on 06/13/2016

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SEC Brings First Ever Charges Against Municipal Advisors

By Steve Quinlivan on 03/15/2016

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T+2 Settlement Gathers Momentum

By Jill Radloff on 03/09/2016

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MSRB Publishes Compliance Advisory for Municipal Advisors

By Steve Quinlivan on 11/13/2015

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MSRB to Implement Gifts Rule for Municipal Advisors

By Steve Quinlivan on 11/09/2015

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SEC Provides Guidance on Definition of “Spouse” and “Marriage”

By Steve Quinlivan on 06/20/2015

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MSRB Provides Guidance on Developing Supervision and Compliance Programs for Municipal Advisors

By Jill Radloff on 06/17/2015

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MSRB Moves Foward Professional Qualification Standards For Municipal Advisors

By Jill Radloff on 03/02/2015

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