SEA 1934 Rule 15
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When consultants become municipal advisers
A Pennsylvania school consultant’s brush with regulators shows how easily operational support can drift into regulated financial advice.
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MUFG Securities EMEA fined $9.8m over ‘substituted compliance’ failures
Firm failed to implement measures to comply with applicable conditions, despite representations that it had done so.
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FINRA disciplinary action update 2024/6
Disciplinary decisions issued February 10 – 16, 2024.