SEC Approves Municipal Advisor Rules
On September 18, 2013, the Securities and Exchange Commission (the “SEC”) unanimously approved final rules (the “Rules”) governing the definition, registration, and regulation of municipal advisors. In addition, the Rules provide guidance and clarification on several matters that had arisen because of provisions in the proposed rules.2 Furthermore, the Rules provide exemptions from the definition of “municipal advisor” which, in some cases, go beyond the exclusions expressly provided for in the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).
Also of Interest
- Harvey Rogers Receives the Lyle Stewart Award
The Oregon Economic Development Association honored Harvey Rogers with the Lyle Stewart Award at its annual conference.
- Rule 15c2-12 Compliance Alert
This edition of the Hawkins Advisory is a compliance alert, supplementing the Hawkins Advisory regarding Rule 15c2-12 that is dated August 22, 2018.
- Arthur Cohen is Recognized by Continental Who's Who
Arthur Cohen is recognized by Continental Who's Who as a Pinnacle Lifetime Member in the field of Law in recognition of his role as Partner of Hawkins Delafield & Wood LLP.
- Hawkins Attorneys Named to 2018 New York Metro Super Lawyers Lists
Four of eleven attornyes named in the area of Government Finance are from Hawkins.