SEC Staff Releases New FAQs re Municipal Advisor
This Advisory summarizes and analyzes the additional FAQs and related responses regarding the Municipal Advisor Rules. On May 19, 2014, the staff of the Securities and Exchange Commission (the “SEC”) posted on the SEC’s website an updated set of “Frequently Asked Questions” (“FAQs”) and related responses regarding the SEC’s final rules (the “Rules”) governing the definition, registration, and regulation of municipal advisors that were issued on September 18, 2013. A Hawkins Advisory dated October 3, 2013, described and analyzed the Rules, and a Hawkins Advisory dated January 24, 2014, summarized and analyzed the initial FAQs (released January 10, 2014). This Hawkins Advisory summarizes and analyzes the updated FAQs (the “FAQs II”).
Also of Interest
- Hawkins Elects Alexis Harrington to Partner
Hawkins Delafield & Wood LLP is pleased to announce the election of Alexis Harrington to the partnership, effective January 1, 2019.
- Hawkins Counsel to the 2018 Northeast Deal of the Year
The Authority’s transaction marks the 20th Deal of the Year transaction that Hawkins has participated in the last 16 years.
- 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.