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 MSRB recently approved amendments that narrow the scope of the annual customer notification requirements under rules for (i) the delivery of investor brochures and (ii) transactions with sophisticated municipal market professionals. The amendments go into effect on October 12, 2021.
The SEC approved an amended MSRB proposal to narrow the scope of the annual customer notification requirements under MSRB rules on delivery of investor brochures and transactions with sophisticated municipal market professionals.
An MSRB proposal was published in the Federal Register that would narrow the scope of the annual customer notification requirements under MSRB rules on delivery of investor brochures and transactions with sophisticated municipal market professionals.