Series 52: 8.4.2.4.4. Soliciting Business Through Third Parties

Taken from our Series 52 Online Guide

8.4.2.4.4. Soliciting Business Through Third Parties

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-d

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