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Securities Exchange Act › Compliance › Municipal Advisers

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Shumaker, Loop & Kendrick, LLP

New Municipal Advisor Rules and Continuing Disclosure Initiative

Shumaker, Loop & Kendrick, LLP on

In an era of increased scrutiny and regulation of the municipal market, the final rules on what constitutes, and the registra- tion of, “municipal advisors”, became effective July 1, 2014. Concurrently, the SEC initiative to...more

Nossaman LLP

Securities and Exchange Commission's New Municipal Advisor Rules Clarify Requirements for Banks

Nossaman LLP on

A range of municipal financial advisors, including banks, are now required to register with the Securities and Exchange Commission (the "Commission") as a result of amendments to the Securities Exchange Act of 1934 (the...more

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