In response to the proliferation of direct placements of municipal securities with financial institutions over the past decade, the Securities and Exchange Commission (SEC) has proposed a regulatory change to clarify the role...more
10/29/2019
/ Comment Period ,
Dodd-Frank ,
Exemptions ,
Fiduciary Duty ,
MSRB ,
Municipal Advisers ,
Private Placements ,
Registration Requirement ,
Regulatory Agenda ,
Regulatory Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions