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.
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The MSRB proposed amendments to MSRB rules on professional qualification requirements to provide a one-time exemption for municipal advisors who allowed their qualification to lapse.
The SEC approved the MSRB rule amendments to establish core standards of conduct and duties for "solicitor municipal advisors."
Comments on an MSRB proposal to establish core standards of conduct and duties for "solicitor municipal advisors" are due by March 7, 2023.
The MSRB proposed a new rule that would "establish the core standards of conduct and duties of 'solicitor municipal advisors' when engaging in solicitation activities that would require them to register with the SEC and the MSRB as municipal advisors."