Bradley Patterson

Bradley Patterson

Ballard Spahr LLP

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Latest Posts › Municipal Securities Issuers


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

SEC Muni Enforcement Chief Offers Her Views on MCDC

The Securities and Exchange Commission’s (SEC’s) year-old Municipalities Continuing Disclosure Cooperation Initiative (MCDC Initiative or MCDC) has encouraged municipal securities issuers, borrowers, and underwriters to...more

3/16/2015 - Municipal Securities Issuers Offering Documents SEC

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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