News & Analysis as of

Amended Regulation MSRB

Sherman & Howard L.L.C.

SEC Requires Disclosure Of Bank Loans And Privately Placed Debt By Most Issuers Of Tax-Exempt Bonds

On August 15, 2018, the Securities and Exchange Commission adopted amendments to Rule 15c2-12 promulgated under the Securities Exchange Act of 1934 (the “Rule”). The Rule, among other things, requires brokers, dealers, and...more

Bracewell LLP

SEC Adopts Amendments to Rule 15c2-12

Bracewell LLP on

On August 20, 2018, the U.S. Securities and Exchange Commission (“SEC”) announced it adopted amendments to Rule 15c2-12 of the Securities Exchange Act (“Rule 15c2-12”). Rule 15c2-12 requires brokers, dealers, and municipal...more

Burr & Forman

Municipal Conduct Rule G-42 Effective June 23

Burr & Forman on

The MSRB’s amended Rule G-42 becomes effective June 23, prescribing new conduct standards for municipal advisors and for the underwriters working with them. In advance of the effective date, the MSRB has published...more

Goodwin

Financial Services Weekly News - September 2015 #4

Goodwin on

Regulatory Developments - NYDFS Announces Approval of First BitLicense Application from a Virtual Currency Firm: The New York State Department of Financial Services (NYDFS) announced Sept. 22 that it has approved...more

Butler Snow LLP

New MSRB Rule Will Increase Available Information Regarding Trades of Municipal Securities

Butler Snow LLP on

Last month, the Securities and Exchange Commission (the “SEC”) approved amendments by the Municipal Securities Rulemaking Board (the “MSRB”) to MSRB Rule G-14 regarding the reporting of trades of municipal securities. These...more

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