recovery of municipal securities losses
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  • SEC Issues Alert on Municipal Securities

    April 4, 2012 Comments (0) Blog, Securities Fraud

    The Securities and Exchange Commission recently issued a Risk Alert on compliance measures to help broker-dealers fulfill their due-diligence duties when underwriting offerings of municipal securities. The alert issued by the SEC’s Office of Compliance Inspections and Examinations (OCIE) notes that in recent years

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