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Results: 1-10 of 19

GAO issues report on agencies’ efforts to analyze and coordinate their rules

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • December 27 2012

GAO is required to annually study financial services regulations. GAO has issued a report that examines: the regulatory analyses federal agencies

GAO identifies internal control issues at CFPB

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • May 22 2012

During its audit of the CFPB’s fiscal year 2011 financial statements, the GAO identified seven internal control issues that could adversely affect CFPB’s ability to meet its internal control objectives

MSRB to delay municipal advisor rule proposals

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 12 2011

The Municipal Securities Rulemaking Board, or MSRB, announced that it is delaying its municipal advisor rule proposals currently before the SEC

MSRB Rule G-23 concerning the activities of financial advisors effective November 27, 2011

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • November 26 2011

The Municipal Securities Rulemaking Board (MSRB) reminds brokers, dealers, municipal securities dealers (“dealers”) and municipal advisors of amendments to MSRB Rule G-23, on activities of financial advisors, which are effective on November 27, 2011

SEC proposes permanent rule requiring municipal advisors to register with agency

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • December 20 2010

The SEC has proposed a rule creating a new process by which municipal advisors must register with the SEC

MSRB provides state and local government toolkit

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • November 7 2011

The Municipal Securities Rulemaking Board, or MSRB, has launched an online “toolkit” for state and local governments as part of its work to protect municipal entities under the Dodd-Frank Wall Street Reform and Consumer Protection Act

MSRB publishes draft rule governing gifts and gratuities by municipal advisers

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • February 22 2011

The Municipal Securities Rulemaking Board, or MSRB, is requesting comment on draft amendments to MSRB Rule G-20 (on gifts and gratuities), which would apply the rule to municipal advisors, as well as associated draft amendments to Rule G-8 (on books and records) and Rule G-9 (on preservation of records

MSRB requests comment on supervisory rule for municipal advisors

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • May 25 2011

The Municipal Securities Rulemaking Board, or MSRB, is requesting comment on a proposed rule that would require municipal advisors to adopt a basic supervisory structure to ensure compliance with applicable MSRB and Securities and Exchange Commission (SEC) rules

MSRB provides guidance to underwriters on obligations to state and local governments

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • July 21 2012

The Municipal Securities Rulemaking Board, or MSRB, has published implementation guidance to assist underwriters in meeting their newly expanded legal obligations to state and local governments

MSRB holds meeting to consider Dodd-Frank related rules

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • May 23 2011

The Board of Directors of the Municipal Securities Rulemaking Board, or MSRB, held a special meeting on May 19-20, 2011 where it advanced major rule proposals governing fiduciary duty, conflicts of interest and fair dealing requirements for firms and individuals that provide financial advisory and underwriting services for municipal entities