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Muni Adviser Hit With SEC Fine Over Broker-Dealer Conflict

By Carmen Germaine ( March 15, 2016, 9:08 PM EDT) -- A municipal adviser will pay $374,827 to the U.S. Securities and Exchange Commission to end charges it failed to disclose a conflict of interest to a client city over nearly $15 million in debt offerings, in the first case enforcing muni advisers' fiduciary duties, the SEC said Tuesday....

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