NEW REGULATORY REQUIREMENTS CREATED BY THE SEC’S MUNICIPAL ADVISOR RULE Beginning July 1, 2014, imposes a registration regime upon brokerage firms that give advice to municipal entities on the investment of bond procee - Brokerage firms - Document - PDFSEARCH.IO

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	NEW REGULATORY REQUIREMENTS CREATED BY THE SEC’S MUNICIPAL ADVISOR RULE Beginning July 1, 2014, imposes a registration regime upon brokerage firms that give advice to municipal entities on the investment of bond procee Add to Reading List Document Date: 2014-07-01 11:59:30 Open Document File Size: 177,55 KB Share Result on Facebook Company Government Portfolio / / Organization U.S. Securities and Exchange Commission / / Person Deanne Woodring / / / Position Registered Investment Advisor / President / advisors / broker / registered Municipal Advisor / MUNICIPAL ADVISOR / broker /dealer / / URL www.gpafixedincome.com / / SocialTag Business Investment Registered Investment Advisor Financial adviser Bond Fiduciary Security Investment Advisor Short Finance

NEW REGULATORY REQUIREMENTS CREATED BY THE SEC’S MUNICIPAL ADVISOR RULE Beginning July 1, 2014, imposes a registration regime upon brokerage firms that give advice to municipal entities on the investment of bond proceeAdd to Reading List