Chrys Carey

Chrys Carey

Morrison & Foerster LLP

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SEC Launches Exam Initiative for Newly Registered Municipal Advisors

The SEC is not wasting any time making sure that newly registered municipal advisors are introduced to their regulator. On August 19, 2014, the SEC announced a two-year examination initiative for municipal advisors that...more

8/21/2014 - FINRA Municipal Advisers OCIE Registration SEC Sec Examination Priorities

U.S. House Votes to Reauthorize the CFTC and Exclude Most RICs from CPO and CTA Requirements

The U.S. House of Representatives on June 24, 2014, passed a version of the CFTC reauthorization bill, H.R. 4413, that would exclude investment advisers to registered investment companies (RICs) from the definitions of...more

6/30/2014 - CFTC CPO CTA Investment Adviser Legislative Agendas Pending Legislation RICs

SEC’s Final Municipal Advisor Registration Rules Will Take Effect on July 1, 2014

The Securities and Exchange Commission’s (SEC) temporary stay on its final municipal advisor rules under Section 15B of the Securities Exchange Act of 1934 (the “Exchange Act”) expires July 1, 2014. Accordingly, municipal...more

6/27/2014 - Dodd-Frank Final Rules Form MA MSRB Municipal Advisers Registration SEC Securities Exchange Act

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