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Edward Jones to Pay $20M for Overcharging Customers in Municipal Bond Sales
The Securities and Exchange Commission has charged brokerage firm Edward Jones and the former head of its municipal underwriting desk have agreed to settle charges that they overcharged customers in new municipal bonds sales. It’s the SEC’s first case against an underwriter for pricing-related fraud in the primary market for ...
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News BriefAtkins says SEC to embrace innovation, criticizes regulatory uncertainty around tokenization
SEC Chair Paul Atkins pointed to the growth of tokenized shares as a key development reshaping private markets, suggesting the agency is preparing to update its rules to keep pace with new forms of digital asset trading and settlement.
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News BriefDOGE targets SPAC oversight under SEC, report says
The Department of Government Efficiency (DOGE) has a new target, and this time it won’t be just firing federal workers. The agency formed by Tesla CEO Elon Musk at the start of the Trump administration wants to roll back more regulations.