James Smith

James Smith

Dorsey & Whitney LLP

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SEC Charges Underwriters with Violations of Rule 15c2-12

​​​​​​​Last week, the SEC entered orders against three underwriters for failing to comply with Securities Exchange Act of 1934 (“Exchange Act”) Rule 15c2-12. These actions serve as a good reminder for compliance checks and...more

9/21/2022  /  Accredited Investors , Compliance , Enforcement Actions , Exempt Transactions , MSRB , Municipal Securities Issuers , Rule 15c2-12 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Underwriting
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