Pay-to-play: proposed MSRB guidance regarding PACs under Rule g-37

The Municipal Securities Rulemaking Board (“MSRB”) recently filed with the Securities and Exchange Commission (“SEC”) proposed guidance regarding affiliated Political Action Committees (“PACs”) for purposes of the pay-to-play limitations imposed... [...]

With many RIAs staring down the onerous task of registering in multiple states, while coping with a new, more demanding ADV form, frustration is mounting at the lack of information... [...]

The SEC has released a timetable of its upcoming rulemaking efforts to implement provisions of the Dodd-Frank Act. Between October and December, the SEC will issue proposed rules on the following:... [...]

The Securities and Exchange Commission announced on September 2, 2010, that it has adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a deadline... [...]

The SEC has amended Part 2 of Form ADV to require registered investment advisers (RIA) to provide clients with clearly written, current and meaningful disclosures, in plain English, about the... [...]

Section 410 of the Dodd-Frank Wall Street Reform and Consumer Protection Act states that an investment adviser with assets under management greater than $100 million will need to register with... [...]