Ernesto Lanza

Ernesto Lanza

Ballard Spahr LLP

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SEC Brings First Charges Against Muni Market Underwriters Alleging Failure to Meet Requirements for Limited Offering Disclosure...

Summary - The Securities and Exchange Commission (SEC) recently announced enforcement proceedings against four municipal market underwriters for alleged violations of municipal bond disclosure requirements. Three of the...more

9/22/2022  /  Disclosure Requirements , Enforcement Actions , Municipal Bonds , Securities and Exchange Commission (SEC) , Securities Violations , Underwriting
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