U.S. Securities and Exchange Commission Final Municipal Advisor Registration Rules

October 15, 2013
Guidance and Issues for Participants in Municipal Securities Transactions

On September 18, 2013, the Securities and Exchange Commission unanimously approved final rules for the registration of municipal advisors under the Dodd-Frank Wall Street Reform and Consumer Protection Act. The final rules provide guidance on the persons who are required to register as municipal advisors and are subject to the fiduciary duty established in the Dodd-Frank Act.

View Relevant Document(s):

‹ Back to Listing

Jump to Page