4 Contributions of MFPs / Southwest Securities Inc. / /
Currency
USD / /
Event
FDA Phase / /
IndustryTerm
consultant services / municipal finance professional / bank / local law / employment law / agent services / expert services / election law / /
Organization
G-8 / office of Compliance Inspections and Examinations1 In / G8 / office of Compliance Inspections / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Practices3 Municipal Securities Rulemaking Board / Division of Trading and Markets / /
PoliticalEvent
presidential election / /
Position
broker-dealer / swap advisors / financial advisor / supervisor / official / CEO / solicitor / dealer in an agency / look-forward / municipal advisors / representative / consultant / issuer official / General / dealer / underwriter / officer / non-MFP executive officer / federal official / /
National Examination Risk Alert: "Pay-to-Play Prohibitions for Brokers, Dealers and Municipal Securities Dealers under MSRB Rules