Bradley Patterson

Bradley Patterson

Ballard Spahr LLP

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Industry Concerns Prompt SEC To Modify MCDC Initiative

In response to concerns raised by industry participants, the Securities and Exchange Commission (SEC) has made some modifications to its Municipalities Continuing Disclosure Cooperation Initiative (MCDC Initiative). The SEC...more

8/1/2014 - Disclosure Requirements MCDC Municipal Securities Issuers Policy Violations SEC Securities Securities Act of 1933 Securities Exchange Act Self-Reporting Trade Associations Underwriting

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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