Richard T. Prins

Large Trader Reporting
Brian V. Breheny,Lawrence D. Frishman,Richard T. Prins,Anastasia T. Rockas, October 28, 2011
On July 27, 2011 the Securities and Exchange Commission (the “SEC” or the “Commission”) adopted Rule 13h-1 (the “Rule”) and Form 13H (the “Form”) under Section 13(h) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)....

SEC Proposes Rules to Establish a Permanent Registration Regime for Municipal Advisors
Richard T. Prins,Anastasia T. Rockas,James M. Schell, February 16, 2011
On December 20, 2010 the Securities and Exchange Commission (the “SEC”) issued a release (the “Proposing Release”),1 proposing to establish a permanent registration regime for municipal advisors. These proposed rules give effect to the provisions of the Dodd-Frank Act2...