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August 14, 2015

SEC Opens New Front in Enforcement Efforts, Reaches Muni Bonds Sale Settlement

The U.S. Securities and Exchange Commission has opened “a new front” with its enforcement efforts, reaching a $20 million settlement with Edward Jones over the company’s sale of municipal bonds.

It’s the SEC’s first “pricing-related case against an underwriter selling new municipal securities.”

In the wake of the settlement, three SEC commissioners wrote a letter urging the Financial Industry Regulatory Authority and Municipal Securities Rulemaking Board to implement better rules on transparency in bond pricing.

Read the full story here.

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