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Abstract: 

The Securities and Exchange Commission issued a great many new regulations and studies in 2003, some of which were mandated by the Sarbanes-Oxley Act. Although these regulations do not generally apply to the municipal marketplace, the principles underlying them provide valuable guidance to municipal market participants. This article is based on the author’s presentation in the panel on the Municipal Market Industry at the Twentieth Annual Conference of the National Federation of Municipal Analysts in Chicago, Illinois, April 30–May 2, 2003.

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Affiliations:  1: Office of Municipal Securities, Securities and Exchange Commission.