A Year in Review for Municipal Securities: SEC Enforcement Highlights


The Securities and Exchange Commission (“SEC”) touted 2014 as a record year for its enforcement program and noted cases that spanned the spectrum of the securities industry. Actions against municipal securities issuers and underwriters particularly stand out among the many areas of aggressive enforcement in 2014.

Excerpted from Practical Compliance & Risk Management for the Securities Industry, July-August 2015. To read the full article, click here.

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