Rebecca Lawrence

Rebecca Lawrence

Ballard Spahr LLP

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SEC 2021 Examination Priorities – Focus on Municipal Securities and Municipal Advisors

The U.S. Securities and Exchange Commission’s Division of Examination (Division) announced its 2021 examination priorities (the Report) on March 3, 2021. The Division’s examination priorities reflect areas that present...more

3/26/2021  /  Financial Industry Regulatory Authority (FINRA) , Libor , Municipal Securities Issuers , Municipal Securities Market , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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