Hawkins Advisory (MSRB Rule G-17 Interpretive Notice)


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This Advisory provides a brief analysis of an MSRB interpretive notice recently approved by the SEC.

The notice interprets MSRB Rule G-17 (fair dealing) to require an underwriter in a negotiated underwriting to make disclosures to the issuer as to its role, its compensation, and actual or potential material conflicts of interest.

Practice Areas

Securities Law Disclosure

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