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By Melanie Waddell, AdvisorOne |
September 27, 2012
SEC says Goldman fine is the biggest it has levied for MSRB pay-to-play violations, this one involving undisclosed contributions to a political candidate a Goldman banker was soliciting for business.
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By Melanie Waddell, AdvisorOne |
August 31, 2012
Just in time for election season, the SEC issued Friday an alert to strengthen compliance with an MSRB rule that limits political contributions by municipal securities professionals to campaigns of public officials.