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 Issues No-Action Letter on Internet-Based ‘Road Shows’

The Securities and Exchange Commission has issued a “no-action” letter relating to a provider of electronic-based “road shows.” The SEC stated in the letter, issued on January 29, 2013, that such presentations to retail...more

2/12/2013 - Municipal Securities Market No-Action Letters Road Shows SEC Securities Exchange Act

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