The Final Municipal Advisor Rule: Navigating the Minefield


On January 13, 2014, the final rules (the Final Rule) for the registration of municipal advisors with the Securities and Exchange Commission (SEC) become effective, putting in place a permanent registration regime established pursuant to Section 975 of Title IX of the Dodd--Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) and Section 15B of the Securities Exchange Act of 1934 (the Exchange Act).

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Topics:  Dodd-Frank, Municipal Advisers, SEC, Securities Exchange Act

Published In: Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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