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Rule G-37 Dodd-Frank Wall Street Reform and Consumer Protection Act

Burr & Forman

6th Circuit Rejects GOP Suit Against MA Pay-to-Play Rule

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The Sixth Circuit Court of Appeals dismissed a suit by the Tennessee, Georgia and New York Republican parties challenging the constitutionality of an MSRB extending pay-to-play prohibition to municipal advisors. The Court...more

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SEC Approves FINRA & MSRB (Almost) Pay-to-Play Rules

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The SEC announced August 25 that it approved FINRA’s pay-to-play rules governing placement-agent or solicitor broker-dealers and was “prepared” to approve the extension of MSRB Rule G-37 to municipal advisors as well....more

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SEC & MSRB’s Pay-to-Play Rule: “Governing Games - Mocking, Part 2”

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This SRO gamesmanship is making a mockery of governing. The latest is the SEC’s position that it didn’t take any action on the new MSRB Rules extending pay-to-play prohibitions to municipal advisors, so it can’t be sued...more

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