Rebecca Lawrence

Rebecca Lawrence

Ballard Spahr LLP

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SEC Settles Charges Against Municipal Underwriter for Unfair Practices and Misleading Advertising in Connection With its...

Summary - The U.S. Securities and Exchange Commission (SEC) announced that it has settled charges against an underwriter, its owner, and chief compliance officer for violations of MSRB Rules G-21 on misleading advertising...more

1/15/2021  /  Misleading Statements , MSRB , Rule G-17 , Securities and Exchange Commission (SEC) , Securities Violations
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