Posts from November 2014.

On October 24, 2014, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board’s (MSRB) Rule G-44, which is the MSRB’s first dedicated rule for municipal advisors. The new requirements take effect April 23, 2015, giving firms six months...

The Securities and Exchange Commission (SEC) today released an order instituting administrative and cease-and-desist proceedings against an investment advisory firm and three top officials for violating the custody rule that requires firms to follow certain procedures when they control...

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