Posts tagged Municipal-Advisor conduct rule proposal.

The MSRB filed its Municipal-Advisor conduct rule proposal with the SEC on April 15. The Rule G-42 proposal has been around the block twice, since the Board first floated it in January last year (Reg. Notice 2014-01). The Revised Draft was issued last July (Reg. Notice 2014-12). I discussed them in our July 30, 2014 and January 23, 2014 blogs. As proposed for adoption by the SEC, the Rule broadly imposes:

  • A fiduciary duty to Municipal Entities, but only of care to Obligated Persons;
  • An "engagement letter" disclosure regime requiring conflicts and disciplinary disclosures ...
Posted in: MSRB
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