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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 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


A Window into Trump’s SEC?
  • Stinson Leonard Street LLP
  • USA
  • November 15 2016

Insights into an SEC composed of Trump appointees can be gleaned from Financial Services Committee Chairman Jeb Hensarling’s (R-TX) opening statements


Trump and the Repeal of Dodd-Frank
  • Stinson Leonard Street LLP
  • USA
  • November 10 2016

Observers widely believe President-Elect Trump will attempt to dismantle much of the Dodd-Frank Act. While to many it is an interesting idea, it may


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 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


Legislation Creating Small Business Advocacy within the SEC Heading to the President’s Desk
  • Stinson Leonard Street LLP
  • USA
  • December 12 2016

On December 10, the SEC Small Business Advocate Act was approved by the Senate, clearing the way for signature by the President. The measure, which


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 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


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