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Keywords: Underwriter disclosure
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Journal Articles
SEC approves MSRB's new underwriter disclosure requirements
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (3): 69–73.
Published: 07 September 2012
... concerning the role and compensation of the underwriter; disclosures of other conflicts; disclosures required in the case of complex financing structures; guidance concerning underwriter compensation and new issuance pricing; requirements for underwriters to honor retail order periods; and guidance on dealer...
