TITLE

Sending the G-23 Evidence

AUTHOR(S)
Hume, Lynn
PUB. DATE
October 2005
SOURCE
Bond Buyer;10/12/2005, Vol. 354 Issue 32236, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on the plan of the National Association of Independent Public Finance Advisors (NAIPFA) to send the U.S. Municipal Securities Rulemaking Board and the National Association of Securities Dealers evidence showing that dealers in some parts of the country are violating the board's Rule G-23. Prevention of dealers from serving as both financial adviser and underwriter in a municipal bond transaction without obtaining permission from the issuer under the rule; Concern of NAIPFA about dealer firms that have long-standing financial advisory contracts with issuers; Priority of the board to continue the real-time transaction reporting system.
ACCESSION #
18573691

 

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