Laura McAloon

Laura McAloon

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

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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