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SEC Gets Partial Win In Muni Adviser Disclosure-Rule Suit

By Katryna Perera ( April 16, 2024, 6:20 PM EDT) -- A California federal judge has awarded a partial win to the U. S. Securities and Exchange Commission in its suit alleging a municipal adviser and one of its principals engaged in unlawful advisory activities with four charter school clients, saying "undisputed evidence" shows the defendants acted as advisers without the proper registrations, among other things. . . .

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