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financial advisor to municipalities

MSRB Rule G-23 - Activities of Financial Advisors
(b) Financial Advisory Relationship. For purposes of this rule, a financial advisory relationship shall be deemed to exist when a broker, dealer, or municipal .
http://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-23.aspx


WM Financial Strategies, Independent Financial Advisor
Independent financial advisor specializing in bonds and local government financing. Site includes articles and bond market resources for appointed and elected .
http://www.munibondadvisor.com/


Rule G-23 - Underwriters prohibited from serving as financial advisor.
An underwriter is not a financial advisor. Underwriters have no responsibility to serve in the best interest of municipal entities and must now make this perfectly .
http://www.munibondadvisor.com/RuleG23.htm


Municipal Bond Participants - The Financial Advisor
Sep 21, 1999 . As a result, Ferber defrauded these financial advisory clients and the purchasers of their municipal securities in violation of Sections 10(b) and .
http://www.sec.gov/info/municipal/mbonds/fa.htm

 

Testimony Concerning Legislative Proposals to Improve the ...
May 21, 2009 . The question of whether financial advisors to municipal issuers and conduit borrowers should be regulated is a topic of significant interest to the .
http://www.sec.gov/news/testimony/2009/ts052109mmh.htm


The New Rules for Advisors to Municipal Retirement Plans
May 10, 2011 . A municipal advisor is generally defined as a person who provides financial advice concerning the issuance of municipal securities and .
http://www.advisorone.com/2011/05/10/the-new-rules-for-advisors-to-municipal-retirement


The Dodd-Frank Wall Street Reform and Consumer Protection Act ...
Oct 1, 2010 . environment. Among other abuses, financial advisors to municipalities – while exempt from regulation – were involved in “pay-to-play” scandals .
http://www.treasury.gov/initiatives/wsr/Documents/Fact%20Sheet%20-%20Mandates%20Stronger%20Oversight%20of%20the%20Municipal%20Securities%20Market,%20Oct%202010%20FINAL.pdf


Municipal Finance Services, Inc.
Municipal Finance Services, Inc. serves exclusively as Financial Advisor for communities, public school districts, colleges and universities, state agencies and .
http://www.mfsok.com/


The Firm - History
Additionally, through its ongoing work with municipalities, the Firm defined the role of today's financial advisor, an individual who assists municipalities seeking .
http://www.firstsw.com/about-us/history



CITY OF ROUND ROCK REQUEST FOR PROPOSAL FINANCIAL ...
establish an agreement for the services of an independent Financial Advisor to . The total long-term cost to the Municipality to acquire the proposer's goods or .
http://www.roundrocktexas.gov/docs/15201033200909-012_financial_advisor_services.pdf

 

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Posted:March 23, 2010