Securities regulations require us to identify individuals with these affiliations in order to determine any potential conflicts of interest or other restrictions on their investment activity. 

For instance, a representative of a broker-dealer that is underwriting a bond issuance may be unable to invest in that issuance. Similarly, the chief financial officer of a city who worked on a bond issuance would usually be unable to invest in that issuance. We collect this information to verify that you don’t have any conflicts.

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