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
- Hawkins Attorneys Featured at Bond Attorneys’ Workshop
Four Hawkins attorneys will serve on panels at the National Association of Bond Lawyers 43rd annual Bond Attorneys’ Workshop which will be held September 26-28, 2018 in Chicago.
- Rule 15c2-12 Amendments
This Hawkins Advisory analyzes the amendments to Rule 15c2-12 that were adopted by the SEC on August 20, 2018.
- Cybersecurity - Municipal Disclosure
This Hawkins Advisory describes recent developments regarding disclosure of cybersecurity risks and incidents and their import for municipal disclosure.
- Average Area and Nationwide Purchase Price Safe Harbor Limits
This issue of the Hawkins Advisory contains information of specific interest to single-family housing bond issuers regarding Average Area and Nationwide Purchase Price Safe Harbor Limits.