1 result for “regulatory exemption” · other
The City of Chattanooga, Tennessee has engaged PFM Financial Advisors LLC as an independent registered municipal advisor (IRMA) to provide advice on municipal securities transactions, allowing underwriters and other transaction parties to qualify for a regulatory exemption under SEC rules through August 21, 2026. The notice clarifies that the City does not consider itself to have a fiduciary relationship with potential transaction parties and requests that written materials regarding presentations be provided concurrently with or prior to discussions. Contact information is provided for two senior consultants at PFM Financial Advisors, along with the firm's SEC and MSRB registration numbers.
AI summary