SEC Approves MSRB’s Proposed Rules

A few weeks ago, we wrote a blog highlighting the Municipal Securities Rulemaking Board’s (“MSRB”) proposal for professional qualification standards for municipal advisors  Well, the qualification standards are no longer a proposal. Today, the Securities & Exchange Commission (“SEC”) approved the … Read More

Core Compliance’s Latest RMU: Valuation – What Investment Advisers Should Know

Last month, Core Compliance & Legal Services, Inc. (“Core Compliance”) published its monthly Risk Management Update (“RMU”), written by Managing Director, Consultation Services, Tina Mitchell. Ms. Mitchell’s RMU, titled Valuation – What Investment Advisers Should Know, provides an overview of … Read More

NASSA Streamlines Filing Process

On December 15th, the North American Securities Administrators Association (“NASAA”), a nonprofit group whose membership is comprised of state and provincial securities regulators devoted to investor protection, launched the Electronic Filing Depository (“EFD”) to streamline the filing process for exempt … Read More

1 21 22 23 24 25 26 27 41