TITLE

NASD: To Avoid G-37 Ban, Mesirow Banker Won't Get Certain Fees

AUTHOR(S)
Hume, Lynn
PUB. DATE
June 2002
SOURCE
Bond Buyer;6/14/2002, Vol. 340 Issue 31407, p40
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports the strategy of Mesirow Financial Inc. to receive an exemption from Rule G-37's two-year ban on business in the U.S. Prohibition on investment banker to accept compensation from the Metropolitan Water Reclamation District of Greater Chicago; Management of the bidding process on the floating-to-fixed rate swap; Set of procedures in compliance with the Rule G-37.
ACCESSION #
6889057

 

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