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Municipalities Financial Industry Regulatory Authority (FINRA)

Morgan Lewis

New Best Execution Requirement for Municipal Securities Transactions

Morgan Lewis on

Although the MSRB’s new best execution rule is generally consistent with FINRA’s, differences exist and questions remain regarding FINRA’s examination and enforcement of the requirements....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

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