A broker-dealer who acted as financial advisor to a municipality in structuring a new issue now wishes to act as underwriter in a negotiated offering.
Which statement is TRUE?
A. This is only permitted in competitive bid underwritings
B. The financial advisor is prohibited from acting as the underwriter
C. The broker-dealer must disclose to the issuer in writing all compensation received from the issuer
D. The broker-dealer must inform the issuer in writing that a potential conflict of interest exists
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A broker-dealer who acted as financial advisor to a municipality in structuring a new issue now wish...
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Computers and Technology, 11.11.2019 23:31
