First SEC Fine Under The Municipal Advisor Registration Rule

Brief Introduction For the first time under the municipal advisor registration rule, the SEC fined a Registered Broker Dealer for a violation of the Rule with $100,000.00 in penalties and […]

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Risk Alert Observations from Municipal Advisor Examinations

Brief Introduction On August 22, 2022, the SEC Division of Examinations (“Division”) released a Risk Alert following up from a prior Risk Alert in 2017 related […]

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