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"SEC Announces Municipal Advisor Examination Initiative"

On August 19, 2014, the Securities and Exchange Commission (SEC) announced that its Office of Compliance Inspections and Examinations (OCIE) will begin a two-year examination initiative (the initiative) through the National...more

8/22/2014 - Compliance FINRA Municipal Advisers OCIE SEC

"Massachusetts Revises Campaign Finance Law"

On August 1, 2014, Massachusetts Gov. Deval Patrick signed House Bill No. 4366 amending the state's campaign finance laws. The amendments, among other things, increase the contribution limit for individual contributors to...more

8/14/2014 - Campaign Finance Reform Political Campaigns

"State Parties File Legal Challenge Against SEC Rule 206(4)-5"

On August 7, 2014, the New York and Tennessee state Republican parties brought suit against the Securities and Exchange Commission (the SEC), challenging Rule 206(4)-5 (the rule). Specifically, the complaint seeks an...more

8/13/2014 - Compliance FEC Political Contributions SEC

"MSRB Actions Regarding Municipal Advisors: Release of Revised Draft Rule G-42 for Comment, and Submission of Proposed Rule G-44...

This mailing is to inform you of the Municipal Securities Rulemaking Board (MSRB) releasing Revised Draft Rule G-42 (setting forth duties of non-solicitor municipal advisors) for public comment, and submitting Proposed Rule...more

8/6/2014 - Banks Conflicts of Interest Disclosure Requirements MSRB Municipal Advisers Rule G-42 Rulemaking Process SEC

"SEC Issues Fine in Pay-to-Play Rule and Registration Requirement Violation Case"

On June 20, 2014, the Securities and Exchange Commission ("SEC") censured and fined investment adviser TL Ventures Inc. for violating the SEC's pay-to-play rule, Rule 206(4)-5 (the "Rule"), and failing to properly register...more

6/25/2014 - Compliance Enforcement Actions Investment Advisers Act of 1940 Pay-To-Play Registration SEC

"Developments Regarding Aggregate Contribution Limits"

In the aftermath of the U.S. Supreme Court's decision in McCutcheon v. FEC, striking down the aggregate limits imposed on individual contributions under federal law, several jurisdictions also have taken steps to address...more

6/18/2014 - Aggregation Rules Campaign Finance Reform FEC McCutcheon v. FEC Political Contributions SCOTUS

"MSRB to Survey Municipal Advisors to Develop Professional Qualification Examination"

Today, the Municipal Securities Rulemaking Board (MSRB) announced that it will distribute a confidential electronic survey to registered municipal advisors to assess the business activities of municipal advisory...more

6/5/2014 - Compliance MSRB Municipal Advisers Municipalities

"SEC Issues New FAQs on Municipal Advisor Rule"

On May 19, 2014, the SEC issued an updated set of FAQs on the rule defining and requiring municipal advisors to register with the SEC (the Rule). The updated FAQs provide clarification on several important issues for certain...more

5/30/2014 - Banks Bonds Broker-Dealer Dodd-Frank Due Diligence Final Rules Market Participants Municipal Advisers Municipal Bonds Municipal Securities Issuers Municipal Securities Market Pensions SEC

"New York Public Corruption Reform Updates"

Numerous endeavors have been undertaken recently to investigate and combat political corruption in New York that could result in more enforcement of political corruption laws in the state. Specifically, this mailing discusses...more

5/15/2014 - Campaign Finance Reform Moreland Commission Political Corruption

"Virginia Adopts New Gift Law"

On April 23, 2014, Virginia adopted Senate Bill 649 amending the state's ethics laws. Effective July 1, 2014, the amendments, among other things, impose a gift limit on certain government officers and employees from...more

4/29/2014 - Corporate Gifts Ethics Public Employees Public Officials

"Recent Developments in Aggregate State Contribution Limits After Supreme Court’s Decision in McCutcheon v. FEC"

On April 2, 2014, the U.S. Supreme Court issued its decision in McCutcheon v. FEC, striking down the aggregate limits imposed on individual contributions under federal law. Although this decision cannot necessarily be read to...more

4/18/2014 - Campaign Contributions Campaign Finance Reform First Amendment McCutcheon v. FEC PACs SCOTUS

"Supreme Court Strikes Down Federal Aggregate Limits on Campaign Contributions"

On April 2, 2014, the U.S. Supreme Court issued its decision in McCutcheon v. FEC, striking down the aggregate limits imposed on individual contributions under federal law. The 5-4 opinion held that the individual aggregate...more

4/3/2014 - Aggregation Rules FEC McCutcheon v. FEC Political Contributions SCOTUS

"MSRB Proposes Professional Qualification Requirements for Municipal Advisors; Approves New Consolidated Registration Form"

Proposed Professional Qualification Requirements for Municipal Advisors - On March 17, 2014, the MSRB proposed draft amendments to Rules G-2 and G-3 which would, among other things, establish professional qualification...more

3/27/2014 - Consolidated Registration Rule MSRB Municipal Advisers

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