Series 14: 5.2.7.4. Solicitation Of Municipal Securities Business

Taken from our Series 14 Online Guide

5.2.7.4. Solicitation of Municipal Securities Business

While Rule G-37 addressed the issue of investment bankers trying to influence elected officials through political contributions, it led to the increased use of politically connected consultants to solicit business for underwriters. The MSRB addressed this problem by adopting Rule G-38. This rule sa

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