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Hardin Compliance LLC.

Stonewood Commons II
103 Bradford Road
Suite 200
Wexford, PA 15090

Phone: 833.942.2218
Fax: 1.724.935.6790

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Hardin Compliance LLC.
  • Approach
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The Compliance Informer

Tag: Municipal Advisors

Pay to Play | Regulatory Filings | SEC News |

Implications of SEC’s Municipal Advisor Rule

January 9, 2015 | by Jaqueline Hummel, Partner and Managing Director

By:  Jaqueline M. Hummel, Managing Director January 9, 2015  On July 1, 2014, the SEC enacted the Municipal Advisor Rule (the “Rule”) as mandated by the Dodd–Frank Wall Street Reform…

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Hardin Compliance LLC.

Hardin Compliance LLC.

Stonewood Commons II
103 Bradford Road
Suite 200

Wexford, PA 15090

Phone: 833.942.2218
Fax: 1.724.935.6790

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