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Now that the SEC has approved the MSRB's proposal to require MA principals to pass a new exam, a content outline and pilot program are on the horizon.
November 29 -
Sycamore Advisors taps muni veterans Dominick Setari and Chris Valentino to help build its Northeast muni business.
November 15 -
The Treasury Department Inspector General for Tax Administration plans to audit the IRS' use of a much-feared enforcement tool under which it can impose penalties for the misconduct of municipal bond transaction participants such as underwriters, lawyers, municipal advisors or their firms.
October 31 -
A muni advisor facing an enforcement action could use a Supreme Court decision on gambling as a defense, a bond lawyer says.
October 22 -
The MSRB needs to better explain the mock advertisements in its compliance resource, a pair of industry groups told the board this week.
October 18 -
The MSRB, SEC, and FINRA will host an outreach event early next year as muni advisors prepare for a new principal exam among other requirements.
October 5 -
Key SEC officials responsible for muni rulemaking and enforcement said they don't feel disclosure has been adversely impacted due to fears stoked by the Municipalities Continuing Disclosure Initiative.
October 4 -
SIFMA is publishing a new model document that it says should help underwriters avoid regulatory risk.
September 27 -
Municipal advisors may be subject simultaneously to conflicts of interest that should be fully disclosed under both federal and state law.
September 25AGFS -
A Carlsbad, Calif.-based San Diego-based firm, Eric Hall & Associates, is accused of being unregistered when it served as municipal advisor to a school district.
September 20