SEC Brings First Action under Dodd-Frank Municipal Advisor Antifraud Rules By Steve Quinlivan on 06/13/2016 … Continue Reading SEC Brings First Action under Dodd-Frank Municipal Advisor Antifraud Rules
SEC Brings First Ever Charges Against Municipal Advisors By Steve Quinlivan on 03/15/2016 … Continue Reading SEC Brings First Ever Charges Against Municipal Advisors
MSRB Publishes Compliance Advisory for Municipal Advisors By Steve Quinlivan on 11/13/2015 … Continue Reading MSRB Publishes Compliance Advisory for Municipal Advisors
MSRB to Implement Gifts Rule for Municipal Advisors By Steve Quinlivan on 11/09/2015 … Continue Reading MSRB to Implement Gifts Rule for Municipal Advisors
SEC Makes Municipal Advisor Compliance Transcript Available By Steve Quinlivan on 12/09/2014 … Continue Reading SEC Makes Municipal Advisor Compliance Transcript Available
