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Results: 1-10 of 19

MSRB requests comment on municipal advisor rules on written communications and disclosures

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 10 2011

The Municipal Securities Rulemaking Board, or MSRB, has requested comment on extending the MSRB’s rule on advertisements to cover municipal advisors and on a draft interpretive notice covering other forms of marketing communications

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 requests comments on a draft rule and interpretive notices for municipal advisors

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • February 17 2011

The Municipal Securities Rule Making Board, or MSRB, is requesting comments on a draft rule and two interpretive notices applicable to municipal advisors

SEC approves interpretive notice on the duties of underwriters to state and local government issuers

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • May 8 2012

The SEC has approved an interpretive notice of the MSRB under which underwriters of municipal securities will be required to disclose to their state and local government clients risks about complex financial transactions, potential conflicts of interest, and compensation received from third-party providers of derivatives and investments

MSRB board proposes rules to curb political contributions by municipal advisors

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 19 2011

The Municipal Securities Rulemaking Board, or MSRB, has proposed regulations that it believes would help prevent the influence of political contributions by municipal advisors in the award of business by state and local government officials

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

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 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

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