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    SEC Investigations and Enforcement Actions: A Practical Handbook for Municipal Securities Issuers


    March.29.2012

    This handbook is designed to provide municipal securities issuers and their staffs with an overview of:

    • the issues the SEC is emphasizing as it seeks to regulate the municipal securities market through enforcement actions;
    • steps to take both in advance of and at the outset of an SEC investigation to help minimize the risk of an unfavorable outcome; and
    • the mechanics of an SEC investigation/enforcement action.