Paul Greenwalt III

Paul Greenwalt III

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SEC Steps Up Enforcement With Respect to Municipal Bond Offerings

In September 2022, the US Securities and Exchange Commission (SEC) announced that it had filed suit against one broker-dealer underwriter and entered into settlements with three other broker-dealer underwriters in cases...more

10/12/2022  /  Broker-Dealer , Certifications , Civil Monetary Penalty , Disclosure Requirements , Enforcement , Investment , Investors , MSRB , Securities and Exchange Commission (SEC)
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