Director of the SEC Office of Municipal Securities Dave A. Sanchez raised supervisory concerns over evolving deal structures amid low issuance in the municipal securities market.
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In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
The SEC approved amendments to (i) provide a one-time exemption for municipal advisors who allowed their qualification to lapse and (ii) require municipal advisors to keep books and records regarding the exemption.
The SEC Office of Municipal Securities updated its Registration of Municipal Advisors FAQ webpage by adding: “Completion of Form MA, Form MA-I, and Form MA-NR.”
Comments on an MSRB proposal to establish core standards of conduct and duties for "solicitor municipal advisors" are due by March 7, 2023.