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Tag Archives: Municipal Advisors

MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017

continuing education, MSRB Rule G-3, Municipal Advisors

The Municipal Securities Rulemaking Board (MSRB) is issuing this notice to remind municipal advisor firms of their obligation to ensure that every individual associated with the municipal advisor firm is … Continue reading MSRB Reminds Municipal Advisors that the Series 50 Exam Deadline Is September 12, 2017 →

SEC Approves Continuing Education Requirements for Municipal Advisors

continuing education, Municipal Advisors

The Municipal Securities Rulemaking Board (MSRB) received approval from the Securities and Exchange Commission (SEC) on May 16, 2017 to amend MSRB Rule G-3, on professional qualification requirements, and amend … Continue reading SEC Approves Continuing Education Requirements for Municipal Advisors →

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Impact of Corporate Transparency Act on Broker-Dealers and Investment Advisers
Its Official, RIA Annual Compliance Reviews Must be Documented in Writing

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