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Supervision Office of Compliance Inspections and Examinations Municipal Advisers

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SEC's Office of Compliance Inspections and Examinations Issues Risk Alert for Municipal Advisors

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On November 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) issued a risk alert that described the staff’s observations from over 110 examinations...more

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