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Results: 1-10 of 26

MSRB moves foward professional qualification standards for municipal advisors
  • Stinson Leonard Street LLP
  • USA
  • March 2 2015

The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to create baseline standards of professional qualification for


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 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 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 proposes groundbreaking rules on obligations of municipal securities underwriters to government bond issuers
  • Stinson Leonard Street LLP
  • USA
  • August 2 2011

The Municipal Securities Rulemaking Board, or MSRB, has requested approval from the SEC of a notice that would establish detailed obligations of underwriters of municipal securities to their state and local government clients covering clear disclosure of risks and conflicts of interest, among other things


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


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


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 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