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Posted inRisk Management

SEC to Launch Municipal Adviser Exam Initiative

Avatar photo by Jaclyn Jaeger August 20, 2014June 13, 2024

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The Securities and Exchange Commission announced this week that it will be launching an examination initiative directed at newly regulated municipal advisors.

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Jaclyn JaegerContributor

Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,... More by Jaclyn Jaeger

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