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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.
Tags >> bank loans

MSRB issues notice to financial advisors

Posted by RJ and Makay on Aug 08, 2011

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The Municipal Securities Rulemaking Board (MSRB) issued a warning Wednesday to financial advisors of state and local governments that certain bank loans and financings may qualify as private placements of municipal securities.  This would subject them to federal securities laws and MSRB rules that apply to broker-dealers.