Rebecca Lawrence

Rebecca Lawrence

Ballard Spahr LLP

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SEC 2021 Examination Priorities – Focus on Municipal Securities and Municipal Advisors

The U.S. Securities and Exchange Commission’s Division of Examination (Division) announced its 2021 examination priorities (the Report) on March 3, 2021. The Division’s examination priorities reflect areas that present...more

3/26/2021  /  Financial Industry Regulatory Authority (FINRA) , Libor , Municipal Securities Issuers , Municipal Securities Market , SEC Examination Priorities , Securities and Exchange Commission (SEC)

SEC Issues Temporary Order Exempting Municipal Advisors From Broker-Dealer Registration Requirements Under Certain Limited...

The U.S. Securities and Exchange Commission (SEC) on June 16, 2020, granted a temporary conditional exemption (Temporary Order) from broker registration under Section 15 of the Securities Exchange Act of 1934 (Exchange Act). ...more

6/24/2020  /  Municipal Securities Market , Registered Investment Advisors , Registration Requirement , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation , Securities Transactions
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