The MSRB amended the annual rate card fees for broker-dealers and municipal advisors in 2024.
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The MSRB issued a Request for Information asking whether its rules may result in "undue regulatory, compliance, operational or administrative burdens or other negative unintended impacts on smaller regulated entities."
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 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 an MSRB proposal to amend a rule on advertising by municipal advisors which will allow for the use of testimonial statements in municipal advisor advertisements. The MSRB set a compliance deadline of July 3, 2023.