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THE MUNICIPAL BOND MARKET
The Relationship Between the SECs Heightened Focus on Financial
8 other sections not shown
administrative admitting or denying agreement antifraud provisions arbitration assets audit clients audit committee broker broker-dealer cease and desist cease-and-desist civil penalty class action Commission filed Commission found Commission instituted committing or causing company's complaint alleged conduct consented corporation counsel court Dean Witter Reynolds defendants denying the Commission's disclose disclosure Drabinsky and Gottlieb earnings Eckstein employees Everex Exchange Act Rel false and misleading federal securities laws financial statements Fiorino firm fiscal fraud fraudulent Fund improper independent accountants independent auditor insider trading internal auditor internal investigation investment investors IPR&D issues KPMG Peat Marwick liability litigation Livent manipulation Matter Merrill Lynch million NASD NYSE officers plaintiffs practices Presstek proceedings professional public companies recommendations revenue SEA Rel Section 10(b Securities Act senior Sensormatic Sony Supp thereunder trading transactions work-product doctrine