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As part of its retrospective review of rules and guidance, the MSRB is requesting feedback on ethical standards and disclosure obligations for financial advisors
within Intellectual Property, Food, Drugs, Healthcare, Life Sciences and Transport topic(s)
As part of its
retrospective review of rules and guidance, the MSRB is requesting feedback on ethical standards and
disclosure obligations for financial advisors to the issuers of
municipal securities. Comments must be submitted by August 19,
2019.
In particular, the MSRB seeks comment on whether the
requirements of
MSRB Rule G-23 (Activities of Financial Advisors) reflect
current practices in the municipal securities market. The rule, in
large part, is intended to minimize the conflict of interest that
exists when a dealer acts as an advisor and an underwriter for the
same issuance; for example, the rule generally prevents the advisor
from also acting as an underwriter or as a remarking agent.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
