Underwriters often push municipal issuers not to hire financial advisors and, if an issuer insists on working with one, prod them to retain broker-dealer FAs, an independent FA firm warned a Securities and Exchange Commission member earlier this month.
Underwriters Push Issuers Not to Use FAs, Firm Warned SEC
Union League Club, Philadelphia, PA
October 21-23, 2015San Francisco Marriott Marquis, San Francisco, CA
Omni Providence Hotel, Providence, RI