July/August 2016
Practical Compliance & Risk Management for the Securities Industry
After four years of discussion following the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the Securities Exchange Commission, the Municipal Securities Rulemaking Board and the Financial Industry Regulatory Authority began to roll out, and continue to roll out, implementing rules and regulations. Now, following the implementation of the rules and regulations and the initial wave of SEC examinations of municipal advisors, management and compliance personnel are navigating through the rules while continuing to run their business and service clients.