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Johnsen, 67, had served as a board member of the National Association of Municipal Advisors. He retired in 2018 as a principal of Fieldman, Rolapp & Associates.September 4
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SIFMA said Friday it had filed suit in Federal court in Washington D.C. asking the court to vacate the SEC’s Temporary Conditional Exemption.August 14
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The pandemic presents new challenges to regulators examining municipal advisor firms.August 14
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Changes to the MSRB come a year after the proposal of legislation that would decrease the size of the board and increase the cooling off period for public board members.August 6
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UMB plans to focus on higher education with its initial thrust into advisory services.July 21
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Several groups are arguing their case to keep their seats on a smaller board.July 16
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Conditions under a recently announced temporary exemption are narrow, SEC staff said, despite push back from dealers.July 8
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Rep. French Hill, R-Ark., said the SEC's temporary relief for MAs to facilitate some private placement deals without registering as a broker-dealer should not have been created through exemptive relief.June 25
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Sorth, who joins as a managing director, will provide municipal bond underwriting and advisory services to clients in Missouri and the Midwest.June 18
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The SEC released an emergency order Tuesday that would allow municipal advisors to facilitate some private placement deals, which have seen an uptick during the pandemic.June 16
