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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Start Dates for Muni Advisor Rules
The MSRB announced a timetable of effective dates for MSRB municipal advisor rules and proposed effective dates for rule initiatives. The proposed effective dates for various rule initiatives would go into effect either when the SEC approves its definition of “municipal advisor,” or on the effective date of that definition.
According to The Timetable of Advisor Rule Effective Dates, the starting dates run from 10/1/11 through 12/23/11. Effective dates for proposed rules, identified as “Draft,” are included in rule filings submitted to the SEC, and are subject to change.
The MSRB has been proposing rules for municipal advisors for the past 10 months - covering themes central to the activities of advisors and their work on behalf of state and local governments - e.g., fiduciary duty, conflicts of interest, pay-to-play, supervision. Final versions of the proposals require approval by the Securities and Exchange Commission.
For further details, go to: [MSRB News Release, 8/5/11]
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