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Articles Posted in Hutchinson Shockey Erley

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SEC Charged 36 Brokerage Firms Over Municipal Bond Offerings

The Securities and Exchange Commission (SEC) announced enforcement actions against 36 municipal bond underwriting brokerage firms for material misstatements and omissions in municipal bond offering documents. The SEC offered favorable settlement terms to municipal bond underwriters and issuers who self-reported securities law violations leading to the settlements. The SEC alleged…

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