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SEC Prosecutions

SEC Prosecutions

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

In the Matter of Ascension Health Alliance, 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 prior agreements to provide continuing disclosure, when in fact it had not.

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