Len Weiser-Varon

Len Weiser-Varon

Mintz Levin

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SEC Introduces “Control Person” Liability as Enforcement Action Weapon in Claim Against Municipal Officer for Misleading Bond...

The U.S. Securities and Exchange Commission recently settled the first securities fraud charges brought against a municipal official alleging “control person” status under the federal securities laws. The SEC’s settlement...more

11/11/2014 - Bonds Compliance Employer Liability Issues Enforcement Enforcement Actions Fraud Municipal Bonds SEC Securities Fraud

SEC Approves Revised Semi-Annual Data Reporting Requirements for Section 529 Plan Underwriters

After initially putting the brakes on the MSRB’s attempt to use underwriters of Section 529 college savings plans as its data-gathering team, the SEC has pressed the accelerator and approved an amended MSRB Rule G-45 ...more

2/27/2014 - Compliance MSRB Reporting Requirements SEC Underwriting

SEC Comforts Appointed Board Members of Municipal Issuers on Valentine's Day

On February 14, 2013, SEC Chairman Elisse Walter at long last indicated, in testimony for the Senate Banking Committee, that the SEC’s final regulations regarding “municipal advisors” will “address ,,, the need for an...more

2/15/2013 - Dodd-Frank Elisse B. Walter Municipal Advisers Municipal Securities Issuers SEC

Securities Regulators Provide Good News, Not-so-Good News for Section 529 Programs

Municipal securities regulators this week provided previews of upcoming regulatory action that suggest that one issue of concern to Section 529 college savings programs will fade away while another one may appear on the...more

2/15/2013 - MSRB Municipal Securities Market SEC Section 529 Program

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