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Where SEC examinations will focus in 2022

Published: March 31, 2022

The Securities and Exchange Commission’s Division of Examinations intends to home in on municipal advisor obligations, transfer agents and municipal issuer disclosures.

Source: bondbuyer.com

Related Topics:

Richard BestSusan GaffneyGary GenslerJay ClaytonCommission Division Of EnforcementDivision BrokerFinancial Industry Regulatory AuthorityDivision Of EnforcementExchange Commission Division Of ExaminationsExchange Examination ProgramDivision Of ExaminationNational Association Of Municipal AdvisorsExchange CommissionNational AssociationRegulation Best InterestMunicipal Securities Rulemaking BoardWashington DcSec EnforcementMunicipal AdvisorsBroker Dealers