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Sadis & Goldberg: Municipal Advisers Registration Alert

Municipal Advisers* are to register with the SEC  by December 31, 2011, according to hedge fund law firm Sadis & Goldberg. “Municipal Advisers” who missed the filing deadline last year may also be subject to enforcement action for acting as an unregistered “Municipal Adviser.”

*The Dodd-Frank Act defines a “Municipal Adviser” as any person who provides advice to or on behalf of a “Municipal Entity” or obligated person with respect to municipal financial products or the issuance of municipal securities, including advice with respect to the structure, timing, terms and other similar matters concerning such financial products or issues, or who undertakes a solicitation of a “Municipal Entity”.

More at Sadis & Goldberg’s Blog

About Alex Akesson

Alex has been specializing in hedge fund and alternative investment news since April 2006. Working mainly in research and manager interviews, she has published breaking news on the hedge fund industry on her blog, as well as several industry publications. Her access to hedge fund managers gives her insight into news stories as well, and the ability to track press releases and other breaking news in real time.
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