Business, 06.03.2020 23:48 gursparks

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

Answers: 2

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