We use cookies to customise content for your subscription and for analytics. If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
On August 31, 2012, the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) issued a National Examination Risk Alert with respect to Municipal Securities Rulemaking Board (MSRB) Rule G-37
On October 12, 2010, the Securities and Exchange Commission (SEC) approved interpretative guidance issued by the Municipal Securities Rulemaking Board (MSRB) that relates to the treatment of PACs affiliated with brokers and dealers under MSRB Rule G-37
On June 30, the Securities and Exchange Commission (SEC) approved a new rule designed to curb the potential for political contributions to influence the selection and retention of investment advisers to state and local governments
On August 7, 2009, the Securities and Exchange Commission (SEC) published proposed rules that would impose a pay-to-play contribution ban on investment advisers who work for or seek to work for states and localities
