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SEC Issues Risk Alert on BDs’ Due-Diligence Duties for Municipal Securitiesadmin, , Due Diligence, Industry News, Legal Issues, Risks, compliance, Compliance Risk, Due Diligence, due diligence efforts, investment risks, Reputational Compliance, Risk Alert, Risks, Securities and Exchange Commission, 0
Citing a lack of due diligence by broker-dealers, the Securities and Exchange Commission on Monday issued a Risk Alert...