Summary of Selected Issues of the SEC Municipal Advisor Rule that Affect Broker-Dealers Intending to be Underwriters
By EsqSocial Corporation 13/11/13
Dodd Frank Act Definition of “Municipal Advisor” A “municipal advisor” is a person (including a firm or an associated person) (but not including a municipal entity or an employee of a municipal entity) who (1) provides “advice” to “municipal...
By: Orrick, Herrington & Sutcliffe LLP