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
DEC 19, 2011 5:32pm ET
July 31-August 1, 2014Boston Park Plaza, Boston, MA
October 8-10, 2014Manchester Grand Hyatt, San Diego, CA
October 26-28, 2014Crowne Plaza Times Square, New York, NY