Muni Financial Advisory

Overview

MSRB Rule G-23 is essentially a "fair practices" or an "anti-conflict of interest" rule. It provides that a broker-dealer that is acting as a "financial advisor" to an issuer in connection with the issuance of municipal securities also may not act in a manner that creates a conflict of interest with respect to that advisory role.

See also the topic pages on Fair Dealing and Distribution Procedures.

Steven.Lofchie@cwt.com's picture
Contributor Organization 
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Partner
mark.highman@cwt.com's picture
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Senior Attorney
maurine.bartlett@cwt.com's picture
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Senior Counsel

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