Latest Publications

Share:

First Issuer MCDC SEC Settlement Announced

On July 8, 2014, the U.S. Securities and Exchange Commission announced that it has entered into a settlement order with Kings Canyon Joint Unified School District (Kings Canyon)—the first settlement with an issuer under the...more

7/11/2014 - Disclosure Requirements Material Violation MCDC SEC Settlement

SEC Municipalities Continuing Disclosure Cooperation Initiative Targets Issuers and Underwriters with a “Prisoner’s Dilemma”

On March 10, 2014, the Enforcement Division of the Securities and Exchange Commission (SEC) announced the Municipalities Continuing Disclosure Cooperation Initiative (MCDC) – an offer for municipal issuers and their...more

4/28/2014 - Disclosure Requirements EMMA Municipal Securities Issuers SEC Underwriting

SEC Fraud Charges Against School District Demonstrate Increased Focus on Disclosure Compliance by Municipal Issuers

On July 29, 2013, the Securities and Exchange Commission announced that it had charged an Indiana school district and its underwriter with securities fraud for falsely stating in a 2007 offering document that the issuer was...more

8/1/2013 - Disclosure Requirements Fraud Municipal Bonds Municipalities Public Schools SEC Section 10 of the Exchange Act Securities Act of 1933 Securities Exchange Act Underwriting

3 Results
|
View per page
Page: of 1