Tesia Stanley

Tesia Stanley

Ballard Spahr LLP

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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

MSRB Proposes Municipal Advisor Supervision Rule

Yesterday, the Municipal Securities Rulemaking Board (MSRB) issued a request for comment on a supervision rule for municipal advisors, draft Rule G-44. The proposed rule contains similar concepts to Rule G-27, the MSRB’s...more

2/27/2014 - Broker-Dealer MSRB Municipal Advisers

2013 Review: SEC Municipal Market Enforcement Actions

In 2013, the Securities and Exchange Commission sought to demonstrate its resolve in enforcement by bringing more selective cases with a greater yield in financial penalties. Indeed, the SEC recently announced that its 2013...more

1/27/2014 - Compliance EMMA Enforcement Enforcement Actions MSRB SEC

Additional Pay-to-Play Disclosure Required of Municipal Securities Dealers

Brokers, dealers, and municipal securities dealers are now required to disclose additional information about their bond ballot contributions under amendments to the Municipal Securities Rulemaking Board’s (MSRB) “pay-to-play”...more

7/2/2013 - Bonds Disclosure Requirements MSRB Municipalities New Amendments Pay-To-Play Political Contributions

SEC Fraud Charges against Harrisburg, Pa., Have Implications for Secondary Market Disclosures

The Securities and Exchange Commission (SEC) recently charged the City of Harrisburg, Pennsylvania (the City), with misleading investors about its financial health in the annual State of the City Address, as well as in its...more

5/10/2013 - Disclosure Requirements EMMA SEC Secondary Markets

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