Municipal advisors

SIFMA is publishing a new model document that it says should help underwriters avoid regulatory risk.

Municipal advisors may be subject simultaneously to conflicts of interest that should be fully disclosed under both federal and state law.

A Carlsbad, Calif.-based San Diego-based firm, Eric Hall & Associates, is accused of being unregistered when it served as municipal advisor to a school district.

A pilot program for the new Series 54 exam should be available early next year, the MSRB announced.

The MSRB's guidance on social media use by muni advisors under its new advertising rule could use some work, market participants said.

The Municipal Securities Rulemaking Board on Monday released final and draft guidance on issues related to its G-40 advertising rules for municipal advisors.

Municipal advisors have a duty of care to their clients that is much more comprehensive, and more demanding.

In a post-tax reform world, the PFM Group created a new title, promoting Daniel Hartman to head of the financial advisory business.

The top executives of FINRA, the MSRB, and some industry groups received total compensation of more than $1 million, The Bond Buyer’s latest survey of compensation levels at 23 municipal market-related groups shows.

The 30-year veteran of HJ Sims, Lebenthal, and Bank of America will be responsible for expanding 280 Cap Markets' new issue underwriting business.

Chicago is accepting request for qualification submissions to supplement the members of its existing pools.

The MSRB's new FAQs examine an issue on which municipal advisor firms have been seeking guidance for months.

The MSRB aims to provide considerations for firms looking at their compliance procedures.

The MSRB is hurrying to release multiple rounds of guidance on its pending muni advisor advertising rule, but industry groups say the first round could use some polish.

The Fifth District Court of Appeals in New Orleans has yet to decide if oral arguments will be held in the suit brought by Calvin Grigsby.

Stull will work with a wide variety of issuers, including the Sunshine State’s growing charter school industry.

Two researchers found the Securities and Exchange Commission and Municipal Securities Rulemaking Board had different data on municipal advisor registrants with a number of MAs failing to update SEC filings.

The SEC issued separate administrative orders Monday stripping Malachi Financial Products of its muni advisory registration and barring Porter Bingham from the industry.

The new guidance is just the first of a planned three-part release, which will later cover social media use and the rule's content standards.

Municipal advisors were hoping for something more robust than the comments the MSRB incorporated into its latest "compliance resource."