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SEC Prosecutions

SEC Prosecutions

SEC Obtains Cease-and-Desist Order Against Muni Securities Issuer for Misstatement

In the Matter of The County of Franklin, New York, Respondent

  • 2016

Proceeding addressing a self-reported violation in the form of an affirmative, material misstatement in an official statement for municipal securities by respondent, namely, that it had complied with a prior agreement to provide continuing disclosure, when in fact it had not.

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