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

Posted in Broker-Dealer, Employment, Investment Advisers, Municipal Advisors, Private Equity, Uncategorized

MSRB Warns Municipalities, Underwriters and Municipal Advisors about Selective Disclosure

By Steve Quinlivan on 09/13/2017

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Continue Reading MSRB Warns Municipalities, Underwriters and Municipal Advisors about Selective Disclosure

Posted in Municipal Advisors, Uncategorized

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

By Steve Quinlivan on 06/13/2016

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

Posted in Litigation, Municipal Advisors, Uncategorized

SEC Brings First Ever Charges Against Municipal Advisors

By Steve Quinlivan on 03/15/2016

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Continue Reading SEC Brings First Ever Charges Against Municipal Advisors

Posted in Banking, Broker-Dealer, Litigation, Municipal Advisors, Uncategorized

T+2 Settlement Gathers Momentum

By Jill Radloff on 03/09/2016

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Continue Reading T+2 Settlement Gathers Momentum

Posted in Broker-Dealer, Municipal Advisors, Public Companies and Securities, Uncategorized

MSRB Publishes Compliance Advisory for Municipal Advisors

By Steve Quinlivan on 11/13/2015

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Continue Reading MSRB Publishes Compliance Advisory for Municipal Advisors

Posted in Municipal Advisors, Uncategorized

MSRB to Implement Gifts Rule for Municipal Advisors

By Steve Quinlivan on 11/09/2015

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Continue Reading MSRB to Implement Gifts Rule for Municipal Advisors

Posted in Broker-Dealer, Municipal Advisors, Uncategorized

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

By Steve Quinlivan on 06/20/2015

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

Posted in Investment Advisers, Municipal Advisors, Public Companies and Securities, Uncategorized

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

By Jill Radloff on 06/17/2015

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

Posted in Municipal Advisors, Uncategorized

MSRB Moves Foward Professional Qualification Standards For Municipal Advisors

By Jill Radloff on 03/02/2015

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Continue Reading MSRB Moves Foward Professional Qualification Standards For Municipal Advisors

Posted in Municipal Advisors, Uncategorized

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