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IRMA Exemption 3. RFP/RFQ Exemption Get Engaged LOI or Traditional Engagement. Meet the three necessary conditions. This option is somewhat limited in the sense that unless the issuer wants to issue serial RFP/RFQs for evolving needs once the RFP/RFQ process closes our window for tendering ideas would also close. This requires Raymond James not to be treated as FCN s municipal advisor under the MA Rule. Among several exemptions provided for in the MA Rule Raymond James would not be considered...

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What is municipal advisor rule?

The municipal advisor rule is a regulatory requirement imposed by the Securities and Exchange Commission (SEC) that governs the activities of individuals and firms providing advice to municipal entities regarding financial products or the issuance of municipal securities.

Who is required to file municipal advisor rule?

Individuals and firms who provide advice to municipal entities regarding financial products or the issuance of municipal securities are required to file the municipal advisor rule.

How to fill out municipal advisor rule?

To fill out the municipal advisor rule, individuals and firms must provide detailed information about their advisory activities, including the type of advice provided, clients served, and potential conflicts of interest.

What is the purpose of municipal advisor rule?

The purpose of the municipal advisor rule is to protect municipal entities and investors by ensuring that individuals and firms offering financial advice in the municipal market are held to certain standards of conduct and disclosure.

What information must be reported on municipal advisor rule?

Information that must be reported on the municipal advisor rule includes details about advisory activities, clients served, potential conflicts of interest, and compliance with regulatory requirements.

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