OBSERVATIONS FROM MUNICIPAL ADVISOR EXAMINATIONS

Goodman, National Associate Director, OCIE’s Broker-Dealer Examination Program, available at https://www.sec.gov/about/offices/ocie/muni-advisor-letter-081914.pdf. These exams were...

SEC.gov | Office of Municipal Securities

What's New ; Unregistered Municipal Advisory Activity in Public-Private Partnerships · Sept. 17, 2024 ; SEC, MSRB, FINRA to Hold Hybrid Compliance Outreach Program · July 1, 2024

Making Sense of Financial Professional titles

SEC-NASAA INvEStor BullEtIN Making Sense of Financial Professional titles The Securities and Exchange Commission’s (SEC)... Neither the SEC nor NASAA endorses any financial professional...

SEC.gov | Municipal Bond Participants: The Financial Advisor

Report under Section 21(a) of the Exchange Act ; SEC, Staff Report on Transactions in the Marine Protein Corporation Industrial Development Revenue Bonds , Exchange Act Release No. 15719 (April 11, 1979). Securities and Exchange Commission v. John Gardner Black, Devon Capital Management, Inc., and Financial Management Sciences, Inc. , Civ. Action No. 97-2257 (W.D. Pa.) Litigation Release No. 15511 (September 26, 1997) (complaint). The Securities and Exchange Commission ("Commission") announced that, on September 26, 1997, the Honorable William ...

SEC.gov | Registration of Municipal AdvisorsFrequently Asked Questions

Municipal Advisor Exemption Registered Investment Adviser Exclusion Underwriter Exclusion... *****@***.*** Background Section 975 of the Dodd-Frank Wall Street Reform and Consumer...

REr.r:n:~u APR 1 O 2019

Commission ("SEC") of the selection of the successor Plan Processor for the CAT NMS Plan.... Manisha Kimmel, Senior Policy Advisor, Regulatory Reporting to Chairman Clayton Mr. Brett...

Conformed to Federal Register version

the “SEC”) is requesting information and public comment... (https://www.sec.gov/rules/submitcomments.htm); or 2 • Send an email to ****-********@***.***. Please include File No. S7...

Small Business Capital Formation

A transcript of the morning proceedings is available on the SEC’s website at https://www.sec.gov/info/smallbus/sbforum111915-record-proceedings.pdf. The Forum program, including the...

PRE 14A

UNITED STATES · SECURITIES AND EXCHANGE COMMISSION · Washington, DC 20549 · PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE · SECURITIES EXCHANGE ACT OF 1934 · (Amendment No. )

SEC.gov | Statement on Request for Information and Comments on Broker-Dealer and

us better understand how firms are approaching new technologies and how these practices affect retail investors. Thank you for your feedback. [1] https://www.sec.gov/rules/other/2021/34-92766