Roger Davis

Roger Davis

Orrick, Herrington & Sutcliffe LLP

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SEC Continues Public Finance Enforcement Agenda Two Recent Cases Filed

Just in the last weeks of August, the Public Finance Abuse Unit of the Enforcement Division of the Securities and Exchange Commission (SEC) announced settlements of securities fraud actions involving a city, an underwriter, a...more

9/27/2017  /  Dodd-Frank , Enforcement Actions , MCDC , Municipal Bonds , Municipalities , Public Finance , Securities and Exchange Commission (SEC) , Securities Fraud

SEC Launches Cooperation Initiative to Encourage Municipal Issuers and Underwriters to Self-Report Continuing Disclosure...

On March 10, 2014, the Securities and Exchange Commission ("SEC") announced that issuers and underwriters of municipal securities may voluntarily report materially inaccurate statements made in offering documents regarding...more

4/10/2014  /  Bonds , Disclosure , Municipal Bonds , Municipalities , Securities and Exchange Commission (SEC) , Self-Reporting , Underwriting
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