MSRB warns some dealers must treated as consultants
- Broker-Dealer or Consultant? Fees Reflect MSRB Rule Confusion. Wisniewski, Mary // Bond Buyer;07/13/99, Vol. 329 Issue 30681, p32
Reports on the confusion over the reporting of consultancy fees in the American municipal bond market. Rule of the Municipal Securities Rulemaking Board on broker-dealers' role as consultants; Issues raised by amount of money collected by Kuehl Capital Corp.'s David Kuehl as a consultant;...
- Most Oppose MSRB's Plan On Hired Help. Hume, Lynn // Bond Buyer;6/8/2004, Vol. 348 Issue 31900, p1
Reports that the Bond Market Association and 14 companies in the United States oppose the proposal by the Municipal Securities Rulemaking Board to ban dealers' use of independent municipal securities consultants. Names of firms.
- Consultants Have Local Presence Needed By National Underwriters. Preston, Darrell; Sanders, Lisa // Bond Buyer;07/13/99, Vol. 329 Issue 30681, p1
Focuses on the use of consultants in the Southwest bond market. Functions of consultants in the market; Characteristics of consultants in the region; Opinions on the value of consultants in the market.
- In Miami-Dade, consultants thrive, as do their problems. McEntee, Christopher // Bond Buyer;07/15/99, Vol. 329 Issue 30683, p1
Discusses the consultants' growing influence on the bond business in Miami and Dade County, Florida. Consultants as valuable resources; Political influence and familiarity with an issuer; Opinions about whether full disclosure is made by the underwriters who hire consultants; Reactions of bankers.
- MSRB Files G-38 Changes. Hume, Lynn // Bond Buyer;8/10/2005, Vol. 353 Issue 32193, p1
Reports that the U.S. Municipal Securities Rulemaking Board (MSRB) has filed an amendment with the Securities and Exchange Commission (SEC) that would make several modifications to its pending Rule G-38 on consultants. Prohibition of dealers from hiring anyone other than employees or affiliated...
- Trimmed Trace OK'd. Kite, Shane // Securities Industry News;01/29/2001, Vol. 13 Issue 5, p1
Reports that the National Association of Security Dealers (NASD) has announced it would work with private-sector firms to help disseminate bond data and possibly run the corporate bond reporting system and make trade matching voluntary for users. Approval of its proposed Trade Reporting and...
- List. // Fort Worth Business Press;5/31/2010, Vol. 22 Issue 22, p14
A list of the employee benefits brokerage and consulting firms in Fort Worth, Texas is presented which includes Paychex Incorporated, Higginbotham & Associates, and Willis.
- Apcims chief says clients paying for unnecessary. Coney, James // Money Marketing;11/11/2004, p24
Highlights the annual conference of the Association of Private Client Investment Managers and Stockbrokers in Paris, France. Payments of investors on financial regulation; Guest speakers.
- Price Discovery in Markets with Multiple Dealers. Romeu, Rafael // IMF Staff Papers;2010, Vol. 57 Issue 2, p450
Dealers learn about asset values as they set prices and absorb informed order flow. These flows cause inventory imbalances. This study models price setting in markets such as foreign exchange, U.S. treasury bonds, European sovereign bonds, and the London Stock Exchange, where market makers have...