Bradley Patterson

Bradley Patterson

Ballard Spahr LLP

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SEC Announces Second Wave of MCDC Enforcement Actions

The Securities and Exchange Commission (SEC) this week announced enforcement actions under its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative, targeting 22 municipal bond underwriting firms for alleged due...more

10/5/2015 - Borrowers Compliance Disclosure Requirements Due Diligence EMMA Enforcement Actions MCDC Municipal Bonds Municipal Securities Issuers Municipal Securities Market Reporting Requirements SEC Securities Exchanges Self-Reporting Underwriting

Federal Government Steps Up Monitoring of Distressed Municipalities

Multiple news outlets have reported that the U.S. Treasury Department has created an Office of State and Local Finance tasked with monitoring the distressed local government sector of the municipal finance market. Kent...more

4/23/2014 - Disclosure Requirements Municipal Bonds Municipalities SEC Secondary Markets U.S. Treasury

SEC Assesses Its First Financial Penalty against a Municipal Securities Issuer

The Securities and Exchange Commission (SEC) announced yesterday that it has, for the first time, assessed a financial penalty against a municipal securities issuer. The penalty arises from a settled administrative proceeding...more

11/7/2013 - Investors Municipal Bonds Municipal Securities Issuers Penalties SEC

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