Examinations Enforcement: Settlement

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 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 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 ...