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Monday, January 13, 2014

SEC Issues Muni Advisor Guidance

The SEC’s Office of Municipal Securities has issued guidance to address concerns regarding implementation of their final rule requiring municipal advisors to register with the SEC. Topics include, but are not limited to:

  • The advice standard, including the general information exclusion and the treatment of business promotional materials used by underwriters;
  • The request for proposals-request for qualifications exemption;
  • The exemption for independent municipal advisors;
  • And the exclusion for registered investment advisers.

The final rule was adopted in September 2013.

Find ABA muni advisor resources.
Read the SEC press release.

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