Publications

SEC Staff Releases New FAQs re Municipal Advisor

05.30.2014
Hawkins Advisory

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”).

Attachment: [Hawkins Advisory]

Practices

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