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SEC charges four underwriters in first of its kind disclosure case
The SEC has charged Oppenheimer in a litigated action and settled with BNY Mellon, TD Securities and Jefferies for failing to comply with municipal bond disclosure requirements.
Paul maco
Gary gensler
Gurbir grewal
Office of municipal securities
Division public finance abuse unit
Office of municipal securities ernesto lanza
Division of enforcement gurbir grewal
Division of enforcement
Oppenheimer co
Exchange commission
Offering exemption
Enforcement division public finance abuse unit
Capital markets
Exchange act
Municipal securities rulemaking board rule
Abuse unit
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