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Irene Carroll and her company, Funding the Gap LLC, settled with the SEC Friday for not registering as municipal advisors. The SEC said Caroll knew she provided similar services as an MA.
September 25 -
The Municipal Securities Rulemaking Board's David Hodapp said an MA's fiduciary duty to an issuer trumps fair dealing obligations to investors.
September 25 -
From June to July, not many municipal advisors relied on the SEC's temporary exemption and some sources say they don't expect it to be heavily used.
September 24 -
Johnsen, 67, had served as a board member of the National Association of Municipal Advisors. He retired in 2018 as a principal of Fieldman, Rolapp & Associates.
September 4 -
SIFMA said Friday it had filed suit in Federal court in Washington D.C. asking the court to vacate the SEC’s Temporary Conditional Exemption.
August 14 -
The pandemic presents new challenges to regulators examining municipal advisor firms.
August 14 -
Changes to the MSRB come a year after the proposal of legislation that would decrease the size of the board and increase the cooling off period for public board members.
August 6 -
UMB plans to focus on higher education with its initial thrust into advisory services.
July 21 -
Several groups are arguing their case to keep their seats on a smaller board.
July 16 -
Conditions under a recently announced temporary exemption are narrow, SEC staff said, despite push back from dealers.
July 8