SEC Makes Municipal Advisor Compliance Transcript Available By Steve Quinlivan on 12/09/2014 … Continue Reading SEC Makes Municipal Advisor Compliance Transcript Available
SEC to Commence Examinations of Municipal Advisors By Jill Radloff on 08/20/2014 … Continue Reading SEC to Commence Examinations of Municipal Advisors
MSRB Seeks to Extend Pay-to-Play Rule to Municipal Advisors By Steve Quinlivan on 08/18/2014 … Continue Reading MSRB Seeks to Extend Pay-to-Play Rule to Municipal Advisors
SEC Commissioner Objects to Retroactive Application of Dodd-Frank Bars By Steve Quinlivan on 08/05/2014 … Continue Reading SEC Commissioner Objects to Retroactive Application of Dodd-Frank Bars
SEC: Don’t Ignore the Habitually Wrong Whistleblower By Steve Quinlivan on 06/24/2014 … Continue Reading SEC: Don’t Ignore the Habitually Wrong Whistleblower
SEC Issues Additional FAQs on Engineering Exclusion from Municipal Advisor Rules By Steve Quinlivan on 05/19/2014 … Continue Reading SEC Issues Additional FAQs on Engineering Exclusion from Municipal Advisor Rules
MSRB Says Pay-to-Play Rules Coming to Municipal Advisors By Steve Quinlivan on 05/11/2014 … Continue Reading MSRB Says Pay-to-Play Rules Coming to Municipal Advisors
MSRB Requests Comment on Establishing Professional Qualification Requirements for Municipal Advisors By Steve Quinlivan on 03/17/2014 … Continue Reading MSRB Requests Comment on Establishing Professional Qualification Requirements for Municipal Advisors
MSRB to Implement Registration Process for Municipal Securities Dealers and Municipal Advisors By Steve Quinlivan on 02/27/2014 … Continue Reading MSRB to Implement Registration Process for Municipal Securities Dealers and Municipal Advisors
Conducting Your Business to Avoid Municipal Advisor Registration: Energy Services and Solar Energy Companies By Steve Quinlivan on 02/05/2014 … Continue Reading Conducting Your Business to Avoid Municipal Advisor Registration: Energy Services and Solar Energy Companies