The MSRB amended the annual rate card fees for broker-dealers and municipal advisors in 2024.
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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.
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."
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 the MSRB rule amendments to establish core standards of conduct and duties for "solicitor municipal advisors."