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The SEC has added two events to the existing fourteen events under Rule 15c2-12, which requires certain notice filings with the MSRB’s EMMA system within 10 business days of occurrence.
By Paul S. MacoAugust 28 -
After Sept. 12, municipal advisor representatives who have not passed the Series 50 Exam may not engage in MA activities.
By Paul S. MacoAugust 8