Teri Guarnaccia

Teri Guarnaccia

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

MSRB Seeks Second Round of Comments on Municipal Advisor Conduct Rule

The Municipal Securities Rulemaking Board (MSRB) recently released a revised draft of Rule G-42 (Draft Rule G-42) following receipt of more than 40 comments on its Initial Draft Rule in January 2014. Rule G-42 regulates...more

7/30/2014 - MSRB Municipal Advisers Rule G-42 Rulemaking Process

How the MCDC Initiative affects bond issuers and borrowers

If you have ever issued (or borrowed the proceeds of) bonds then you should know about the Municipalities Continuing Disclosure Compliance Initiative (the “Initiative”) and take the appropriate steps to determine your...more

7/17/2014 - Borrowers Issuers MCDC Municipal Bonds Municipalities SEC Securities Exchange Act

SEC Issues First MCDC Cease and Desist Order

Yesterday, the Securities and Exchange Commission (SEC) announced its first cease and desist order under its Municipalities Continuing Disclosure Cooperation Initiative (MCDC Initiative). The MCDC Initiative was introduced on...more

7/10/2014 - Cease and Desist Disclosure Requirements MCDC Misrepresentation Municipalities SEC

MSRB Imposes Annual Fee on Municipal Advisors

The Municipal Securities Rulemaking Board (MSRB) recently filed a rule change to adopt MSRB Rule A-11 (Rule). The new Rule calls for a $300 fee to be assessed annually against each municipal advisor professional who is...more

4/23/2014 - Fees MSRB Municipal Advisers SEC

Federal Government Steps Up Monitoring of Distressed Municipalities

Multiple news outlets have reported that the U.S. Treasury Department has created an Office of State and Local Finance tasked with monitoring the distressed local government sector of the municipal finance market. Kent...more

4/23/2014 - Disclosure Requirements Municipal Bonds Municipalities SEC Secondary Markets U.S. Treasury

SEC Enforcement Division Encourages Self-Reporting by Municipal Securities Issuers and Underwriters

Yesterday, the Securities and Exchange Commission’s (SEC) Enforcement Division introduced an initiative to encourage self-reporting by municipal securities issuers and underwriters of possible securities law violations...more

3/12/2014 - Municipal Securities Market Municipalities SEC Self-Reporting

HUD Issues New Public Housing Capital Fund Rule

The final rule for the Public Housing Capital Fund Program (Capital Fund) recently released by the U.S. Department of Housing and Urban Development (HUD) makes significant changes to the Capital Fund. Noteworthy...more

10/30/2013 - Affordable Housing Energy Efficiency HUD Public Housing Subsidies

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