SEC to Seek Comment on Clarified Definition for G-37, G-38

Hume, Lynn
December 2005
Bond Buyer;12/16/2005, Vol. 354 Issue 32280, p4
Trade Publication
The article reports that the U.S. Securities and Exchange Commission is planning to publish in the Federal Register and seek public comments on the Municipal Securities Rulemaking Board's proposed revised definition of "solicitation." The move would make help regulators to gauge dealer compliance with the board's rules 0-37 on political contributions and 0-38 on consultants. The revision would clarify that a solicitation means any communication which is made under circumstances that are reasonably calculated to obtain or retain municipal securities business for the dealer and depends upon the specific facts and circumstances.


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