With Henry Bregstein, Wendy Cohen, Daren Domina, Jack Governale, Ricardo Hollingsworth, Joseph Iskowitz, Marilyn Okoshi, Ross Pazzol, Fred Santo, Peter Shea, Marybeth Sorady, James Van De Graaff, Milton Wakschlag, Meryl Wiener, Allison Yacker, Lance Zinman
The Securities and Exchange Commission recently issued proposed rules (the Proposed Rules)* that define who must register as a "Municipal Advisor" under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), establish a permanent registration regime for Municipal Advisors and impose certain recordkeeping requirements on Municipal Advisors.