{"id":5521,"date":"2013-11-21T00:00:00","date_gmt":"2013-11-21T06:00:00","guid":{"rendered":"https:\/\/institutionalinvestorsecuritiesblog.blawgcloud.com\/2013\/11\/municipal_bond_news_sec_offers"},"modified":"2022-08-29T09:08:27","modified_gmt":"2022-08-29T14:08:27","slug":"municipal-bond-news-sec-offers","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/municipal-bond-news-sec-offers\/","title":{"rendered":"Municipal Bond News : SEC Offers Small Entity Compliance Guide, MSRB Puts Out Video on Issuance Process, CFTC Offers SEF Regulatory Guidance, & Lawmakers Consider SIPC Reforms"},"content":{"rendered":"

SEC Issues Small Entity Compliance Guide <\/strong><\/p>\n

The Securities and Exchange Commission has put out a small entity compliance guide that explains the new forms and rules involved with the municipal advisers registration regime. Issued in September, the rules and forms implement the Dodd-Frank Act\u2019s Section 975, which mandates that municipal advisers register with the regulator.<\/p>\n

Permanent registration dates start the first of next year through October 31, 2014. If an adviser joins up after this time, it will have to apply to register under the permanent regime before engaging in any activities.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

SEC Issues Small Entity Compliance Guide The Securities and Exchange Commission has put out a small entity compliance guide that explains the new forms and rules involved with the municipal advisers registration regime. Issued in September, the rules and forms implement the Dodd-Frank Act\u2019s Section 975, which mandates that municipal advisers register with the regulator. 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