TITLE

MSRB Adds Inadvertently Omitted Language to Proposed Rule G-38 Changes

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2004
SOURCE
Bond Buyer;10/13/2004, Vol. 350 Issue 31988, p4
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article says that the Municipal Securities Rulemaking Board recently issued a correction to the notice published on September 29 that contained draft amendments to its Rule G-38 on municipal securities consultants. Under G-37, a dealer can be banned from engaging in negotiated securities business for two years if the dealer any of its municipal finance professionals make significant political contributions to issuer officials who can influence the award of bond business. Under the proposed Rule G-38 dealers would have to enter into contracts with their independent solicitors that specify, among other things that the dealer is responsible for directing and supervising their compliance with the rule.
ACCESSION #
14718381

 

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