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Municipal Advisers Municipalities

Stinson - Corporate & Securities Law Blog

MSRB Warns Municipalities, Underwriters and Municipal Advisors about Selective Disclosure

Regulation FD prohibits public companies from disclosing material nonpublic information to designated classes of persons such as securities professionals and holders of the issuer’s securities without, in most cases,...more

WilmerHale

Opportunities and Risks in Municipal Underwritings and Derivatives

WilmerHale on

In the current economic climate, opportunities are expanding significantly for municipal underwriters and derivatives specialists as states and municipalities across the country clamor to pay for infrastructure and services,...more

Ballard Spahr LLP

Insights from Ballard Spahr’s annual Housing Authority Summit

Ballard Spahr LLP on

At yesterday’s Housing Authority Summit, representatives from housing authorities, HUD’s Office of Public Housing Investments and RAD teams, housing legislative advocates, key industry financial and advisory consultants and...more

Burr & Forman

MSRB Proposes Gift Limitations for Municipal Advisors

Burr & Forman on

The MSRB last week proposed an extension of its gift-limitations Rule G-20 to encompass municipal advisors. The Proposed Rule generally limits gifts in relation to municipal securities or advisory services to $100 per year. ...more

Burr & Forman

SEC Approves Supervision & Compliance Rule for Municipal Advisors

Burr & Forman on

The SEC last week approved new MSRB Rule G-44 implementing supervision and compliance requirements for municipal advisors. The MSRB touted the Rule as “its first dedicated rule for municipal advisors” under the Dodd-Frank...more

Shumaker, Loop & Kendrick, LLP

New Municipal Advisor Rules and Continuing Disclosure Initiative

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

Skadden, Arps, Slate, Meagher & Flom LLP

"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

Orrick - Finance 20/20

SEC Updates FAQs Regarding the Municipal Advisor Registration Rules

Orrick - Finance 20/20 on

On May 19, the SEC updated its Frequently Asked Questions Regarding the Municipal Advisor Registration Rules to clarify when the proceeds of pension obligations bonds should be treated as “proceeds of municipal securities.” ...more

Stinson - Corporate & Securities Law Blog

SEC Issues Additional FAQs On Engineering Exclusion From Municipal Advisor Rules

We have reviewed prior SEC guidance on the municipal advisor rules, from a view point of structuring a business to avoid a municipal advisory role. The SEC has now issued additional FAQs, including on the engineering...more

Benesch

SEC Issues Guidance on Municipal Advisor Rules

Benesch on

The Dodd-Frank Wall Street Reform and Consumer Protection Act requires municipal advisors to register with the Securities and Exchange Commission (“SEC”). On September 20, 2013, the SEC adopted final rules governing...more

Goodwin

SEC Temporarily Stays Municipal Advisor Registration Rules

Goodwin on

The SEC has issued a temporary stay of its municipal advisor registration rules (the “Final Rules”). The stay means that the rules, which were to become effective on January 13, 2014, will not apply until July 1, 2014. ...more

Burr & Forman

MSRB Proposes Conduct Rules For Municipal Advisors

Burr & Forman on

On Thursday, January 9, the MSRB re-proposed new Rule G-42 promulgating standards of conduct for Municipal Advisors (“MA’s”) subject to the almost-newly-effective SEC MA Rule, 17 CFR § §240.15Ba1-1 to 15Ba1-8 (now delayed...more

Dickinson Wright

The Dodd-Frank Act And Municipal Advisor Rules

Dickinson Wright on

The Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) was signed into law by President Obama on July 21, 2010. The Dodd-Frank Act was enacted in response to the financial crisis that began in...more

Burr & Forman

SEC Municipal-Advisor Rules Effective July 1

Burr & Forman on

The SEC’s new Municipal-Advisor Rules, 17 CFR § § 240.15Ba1-1 to 15Ba1-8 were to become effective Monday, January 13, 2014 but that morning were delayed until July 1. SEC Rel. 34-71288. Adopted last September, SEC Rel....more

K&L Gates LLP

The SEC Adopts Final Registration Regime and Record-Keeping Obligations for Municipal Advisors

K&L Gates LLP on

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

McNees Wallace & Nurick LLC

SEC Issues Final Municipal Advisor Registration Regulations

On September 20, 2013, the Securities and Exchange Commission (SEC) published its final regulations regarding the registration of “municipal advisors.” These final regulations create a permanent registration regime in place...more

Katten Muchin Rosenman LLP

SEC Adopts Municipal Advisor Registration Requirements

The Securities and Exchange Commission has issued final rules requiring municipal advisors to register with the SEC. The final rules define “municipal advisor” to include a person who provides advice regarding municipal...more

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