Series 51: Solicitation Of Municipal Securities Business

Taken from our Series 51 Online Guide

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 tackled this problem in 2005 with Rule G-38, which prohibits broker-dealers from paying any person to solicit municipal securities business on their behalf wh

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