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Results: 1-10 of 33

MSRB considering T2 for munis
  • Stinson Leonard Street LLP
  • USA
  • November 11 2015

The Municipal Securities Rulemaking Board, or MSRB, is seeking public comment on a proposal to facilitate shortening the settlement cycle for


Legislators Say SEC Can Work on Political Spending Disclosures
  • Stinson Leonard Street LLP
  • USA
  • December 22 2015

The recently enacted omnibus spending bill, referred to as the Consolidated Appropriations Act, 2016, provides the SEC may not use funds made


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


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


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 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


How to get out of the municipal advisory business
  • Stinson Leonard Street LLP
  • USA
  • February 28 2011

The Dodd-Frank Act requires municipal advisors to register with the SEC, and as a result, with the Municipal Securities Rule Making Board, or MSRB


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 files proposal to establish interim municipal advisor assessment
  • Stinson Leonard Street LLP
  • USA
  • July 28 2011

The Municipal Securities Rulemaking Board, or MSRB, has filed a proposed rule change with the SEC to establish a new interim municipal advisor assessment under new Rule A-11, on municipal advisor assessments, and a new Form A-11-Interim to be used in connection with such interim municipal advisor assessment


MSRB files amendments to underwriter fair dealing proposal
  • Stinson Leonard Street LLP
  • USA
  • November 3 2011

The Municipal Securities Rulemaking Board, or MSRB, today filed amendments to its proposal regarding the duties of underwriters to state and local government issuers under the MSRB’s “fair dealing” rule