US SEC Records First Case of Broker-Dealer Municipal Advisor Violation
Mar 29, 2023
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The regulator fined Loop Capital Markets $100k.
The broker-dealer advised a city on fixed income securities without being registered.
The United States Securities and Exchange Commission (SEC) announced on Wednesday that it had fined Loop Capital Markets, a Chicago-based investment bank and broker-dealer, $100,000 for violating the regulator’s municipal advisor registration rule.
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