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U.S. SEC charges Oppenheimer, BNY, Jefferies and TD over municipal bond disclosures

14 Tháng Chín 2022
U.S. SEC charges Oppenheimer, BNY, Jefferies and TD over municipal bond disclosures © Reuters. FILE PHOTO: The seal of the U.S. Securities and Exchange Commission (SEC) is seen at their headquarters in Washington, D.C., U.S., May 12, 2021. REUTERS/Andrew Kelly
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(Reuters) - The U.S. Securities and Exchange Commission (SEC) on Tuesday said it had charged Oppenheimer & Co, BNY Mellon (NYSE:BK), TD Securities and Jefferies, with failing to comply with municipal bond offering disclosure requirements.

The agency has filed litigation against Oppenheimer, while the other three brokers agreed to settle. The charges are the first brought by the SEC under a new municipal bond disclosure law. The agency said the four brokers sold new issue municipal bonds without obtaining required disclosures for investors.

Each of the firms purported to rely on an exemption to the typical disclosure requirements called the limited offering exemption, but they did not take the steps necessary to satisfy the exemption’s criteria, the SEC said.

BNY, TD and Jefferies together will pay around $1.25 million in penalties and disgorgement.

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    EUR/JPY 141.02 ↑ Buy  
    EUR/CHF 0.9574 ↑ Buy  
    Gold 1,662.35 ↑ Buy  
    Silver 18.640 ↑ Sell  
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    Crude Oil WTI 81.33 ↑ Sell  
    Brent Oil 87.16 ↑ Sell  
    Natural Gas 6.729 ↑ Sell  
    US Coffee C 226.70 ↑ Buy  
    Euro Stoxx 50 3,259.65 ↑ Sell  
    S&P 500 3,629.18 ↑ Sell  
    DAX 11,907.20 Sell  
    FTSE 100 6,844.90 ↑ Sell  
    Hang Seng 17,165.87 ↑ Buy  
    Small Cap 2000 1,657.90 ↑ Sell  
    IBEX 35 7,261.52 ↑ Sell  
    BASF 38.508 ↑ Sell  
    Bayer 47.42 ↑ Sell  
    Allianz 158.04 ↑ Sell  
    Adidas 124.65 ↑ Sell  
    Lufthansa 5.811 Neutral  
    Siemens AG 97.30 ↑ Sell  
    Deutsche Bank AG 7.494 Neutral  
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