Series 54: 2.2.2.8. Non-Solicitor Municipal Advisor Prohibitions

Taken from our Series 54 Online Guide

2.2.2.8. Non-Solicitor Municipal Advisor Prohibitions

Rule G-42 specifically prohibits a non-solicitor municipal advisor from doing the following:

• Being compensated excessively for its activities

• Providing an invoice that contains material inaccuracies

• Providing any information that it knows or should know is false or misleading when attempting to secure a municipal advisory relationship

• Being involved in a fee-splitting arrangement with an underwriter on a transaction

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