The Securities and Exchange Commission has approved Municipal Securities Rulemaking Board changes to Rule G-16 that would require muni broker-dealers that pose more risks to undergo compliance examinations more frequently, possibly as often as every year.
SEC Approves Changes to Broker-Dealer Compliance Rules
Union League Club, Philadelphia, PA
October 21-23, 2015San Francisco Marriott Marquis, San Francisco, CA
Omni Providence Hotel, Providence, RI