Municipal Securities

This settlement concerns a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

This settlement concerns a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

This settlement concerns a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

This settlement concerns a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

This settlement resolves a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

This dual-registrant was accused of violating Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

This settlement concerns a violation of Exchange Act rule 15c2-12: before purchasing or selling municipal securities in connection with an offering, underwriters are required to ...

These proceedings involve the sale of non-investment grade or “junk” bonds issued by the Commonwealth of Puerto Rico by StateTrust, a registered broker-dealer and municipal securities ...

As market participants reevaluate how they will find stable sources of liquidity in a world of decreasing dealer inventories, a whole host of market-based solutions ...

Preliminary Note: For a discussion of disclosure obligations relating to municipal securities, issuers, brokers, dealers, and municipal securities dealers should refer to Securities Act Release ...