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Caution is key with conflicts of interest under MSRB Rule G-42

Erring on the side of caution and good documentation are key to managing conflicts of interest

Brian reillyTracie palmerAshley mcanultyEd fierroGail marshallExchange commissionEhlers incStephens incCompliance outreach program for municipal advisorsOak municipal advisorsFinancial industry regulatory authorityOutreach programMunicipal advisorsMunicipal securities rulemaking boardFinancial industry regulatoryChoice advisors

SEC, MSRB, FINRA To Hold Compliance Outreach Program For Municipal Advisors

SEC, MSRB, FINRA To Hold Compliance Outreach Program For Municipal Advisors
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Daniel kahlRebecca olsenBari havlikGail marshallOffice of municipal securitiesCompliance outreach program for municipal advisorsDivision of examinationsFinancial industry regulatory authorityExchange commission division of examinationsExchange commissionMunicipal securitiesMunicipal securities rulemaking boardOutreach programActing directorRegulatory officer gail marshallVice president