Section 5970.

5970. As used in this chapter, the following phrases have the following meanings: (a) “Person” means any broker, dealer, municipal securities dealer, investment advisor, or investment firm. (b) “Regulatory agency” means the Department of Financial Protection and Innovation, the securities administrators or other similar regulatory authority in any other state, the Securities and Exchange Commission, the Financial […]

Section 5971.

5971. In selecting any person to provide underwriting services, including financial, advisory or other financial services, involving the issuance of securities, the state or the legislative body of any local governmental entity may consider, among other things, prior conduct of the person, or any employee of the person, including, but not limited to, acts constituting […]