*Letters

Supervisory & Compliance Obligations of Municipal Advisors

Published on:
April 25, 2014
Committee:

SIFMA provides comments to the Municipal Securities Rulemaking Board (MSRB) on MSRB’s Request for Comment on Draft MSRB Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors and associated amendments to Rules G-8 (on Books and Records) and G-9 (on Preservation of Records) (February 25, 2014), MSRB Notice 2014-04.

SIFMA commends the MSRB for proposing a supervisory regime for municipal advisors of similar robustness as the requirements of MSRB Rule G-27, resulting in a level regulatory playing field for all municipal advisors; and is supportive of the elements of the supervisory system requirements contained in the Proposal.

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