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Friday, December 13, 2013

SEC Issues Municipal Advisor Rule

The SEC has issued its final rule requiring municipal advisors to register permanently with the SEC. In its bulletin, the OCC noted that this rule applies to all national banks and federal savings associations that meet the definition of “municipal advisor”. However, the SEC stated that banks providing advice on certain identified banking products, such as deposit accounts, extensions of credit, sweep accounts, or bond indenture trustee services do not need to register.

Read the rule.

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