The SEC has issued a National Examination Risk Alert related to pay-to-play rules governing firms in the municipal securities business, not surprisingly a hot SEC topic considering the upcoming elections. Apparently, SEC examiners are finding that many firms are not taking the proper steps to comply with a Municipal Securities Rulemaking Board (MSRB) rule that deals with contributions to political campaigns of public officials of companies with whom they are doing or seek to do business.
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Labor & Employment Law Updates, Wills, Trusts, & Estate Planning Updates
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