Month: June 2016

The SEC has been focusing on municipal bond offerings, filing a series of enforcement actions. An action brought this week is the first, however, based on the Dodd-Frank fraud section related to municipal advisers. The action center on the use …

SEC’s First Action Based On Dodd-Frank Muni Adviser Fraud Section Read More »

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The SEC has been touting the large cash awards it has been handing out to whistleblowers. The agency views whistleblowers as a key source of potential information about wrong-doing which can give them tips and facilitate investigations. As part of …

Whistleblowers: No Reasonable Belief of Violation, No Protection Read More »

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