Tag: municipal markets

The Commission brought its first action based on Exchange Act Section 15B(c)(1) as amended by Section 275 of Dodd-Frank. Under that provision municipal advisors and their associated persons have a fiduciary duty to their municipal entity clients and are prohibited …

First SEC Case Re Dodd-Frank Municipal Fiduciary Duty Provision Read More »

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A new series on the future path of SEC enforcement

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