TITLE

Bill Would Promote Dealer FAs

AUTHOR(S)
Hume, Lynn; DeSue, Tedra
PUB. DATE
April 2006
SOURCE
Bond Buyer;4/24/2006, Vol. 356 Issue 32366, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports on the issues regarding the legislation that would forbid local and state government issuers of municipal securities from employing any financial advisers rather than the registered broker-dealers in South Carolina. President Keith Curry of the National Association of Independent Public Finance Advisors expressed their opposition to the said legislation. The bill also allows a broker-dealer financial adviser to serve as both adviser and underwriter in a transaction.
ACCESSION #
20607954

 

Related Articles

  • FA selection will kick off Jackson, Miss.'s $200 million water and sewer plan. McEntee, Christopher // Bond Buyer;11/23/98, Vol. 326 Issue 30526, p7 

    Focuses on Jackson, Mississippi's overhaul of its water and sewer system through selection of financial advisers to review rates and financing options. Job responsibilities of a financial adviser; Financial advisers that submitted proposals; City's plan to sell its water and sewer revenue bonds.

  • Treading a fine line between advising and broking. Laurence, Michael // BRW;2/20/95, Vol. 17 Issue 6, p72 

    Focuses on the business relationship between financial planners and stockbrokers. Attempts of stockbrokers to poach financial planners' clients; Intention of brokers to form their own financial planning division.

  • REID ALL ABOUT IT.  // Money Marketing;2/24/2005, p34 

    Focuses on the issue over the changes to the local government pension schemes in Great Britain. Importance of understanding the level of cost that the public sector passes on the rest of the population; Benefits of pensions; Details on the development of the professional financial planner in the...

  • Jobs for money moguls. Gibson, Andrea // Career World;Mar1999, Vol. 27 Issue 6, p30 

    Describes challenges and opportunities of several finance-related occupations. Financial institution officers and managers; Stockbrokers; Comptrollers; Financial managers; Skills required; Factors that are expected to contribute to the growth in demand for finance-related positions.

  • Budget affirms planners' independent tax status.  // Financial Planning;Sep97, Vol. 27 Issue 9, p29 

    Reports on the US 1998 budget's mandate that a securities broker-dealer's duty to supervise is not to be used as a factor in determining an independent financial planner's tax status. Implications of a reclassification of independent planners as employees.

  • PICKING A FINANCIAL ADVISOR. Dunnan, Nancy // ABA Journal;Sep88, Vol. 74 Issue 9, p96 

    Discusses the factors to consider when selecting a financial adviser. Key disadvantage of using a stockbroker and money managers; Three types of financial planners categorized by how they charge their clients; Expectations from a financial planner.

  • Good advice. L.C.F. // Entrepreneur;Mar1997, Vol. 25 Issue 3, p23 

    Describes the different kinds of financial advisors. Stockbrokers; Money managers; Certified Financial Planners.

  • Fund Managers from Poor Families Often Achieve Better Results. Fitzgerald, Jay // NBER Digest;Dec2016, p6 

    The article reports on a study which indicates that mutual fund managers from poor families consistently achieve better investment results compared to those that came frm wealthier backgrounds.

  • MSRB Files Muni Fund Securities Amendments. Hume, Lynn // Bond Buyer;8/4/2004, Vol. 349 Issue 31940, p5 

    Reports that the U.S. Municipal Securities Rulemaking Board filed amendments to its Rule G-3 on professional qualifications with the U.S. Securities and Exchange Commission. Amendment that would delete an expired transitional rule for supervisors of brokers and dealer selling municipal fund...

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics