Cynthia Weed

Cynthia Weed

K&L Gates LLP

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SEC Delays Municipal Advisor Registration and Record-Keeping Obligations

The SEC has stayed the implementation date of its final rules establishing a permanent registration and record-keeping regime for municipal advisors until July 1, 2014. The new rules are required by the Dodd-Frank Wall Street...more

1/20/2014 - Dodd-Frank Financial Regulatory Reform Investment Adviser Municipal Advisers Recordkeeping Requirements SEC Swaps

The SEC Adopts Final Registration Regime and Record-Keeping Obligations for Municipal Advisors

As required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), the Securities and Exchange Commission (the “SEC” or Commission”) adopted on September 20, 2013 final rules and forms...more

1/9/2014 - Deadlines Dodd-Frank Municipal Advisers Municipalities Recordkeeping Requirements Registration SEC

New Help Remembering Your Continuing Disclosure Obligations

The life of a tax-exempt bond issuer is not always sunshine and discounted money. Your bondholders look to you not only for notifications of material events, but also for routine continuing disclosures of financial and...more

7/31/2013 - Disclosure Requirements EMMA MSRB SEC Tax Exemptions Tax-Exempt Bonds

You Don’t Have to Pay for a Post Issuance Compliance Policy…But Have You Adopted One Yet?

A number of municipal entities have been receiving a solicitation to purchase a post-issuance debt policy and procedure manual. The advertisement suggests that having such a policy is required by the Internal Revenue Service...more

1/14/2013 - Compliance IRS Municipal Bonds Municipalities Tax Exemptions

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