News & Analysis as of

Municipalities Dodd-Frank Wall Street Reform and Consumer Protection Act Enforcement Actions

Orrick, Herrington & Sutcliffe LLP

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

Burr & Forman

Court Sets Aside SEC’s First Muni “Control-Person” Settlement

Burr & Forman on

Earlier this month, the SEC used a “control-person” charge in a settled action against an elected municipal official in connection with municipal bond offering. Enforcement touted that “first” on the Monday after: “An...more

Burr & Forman

SEC Approves Supervision & Compliance Rule for Municipal Advisors

Burr & Forman on

The SEC last week approved new MSRB Rule G-44 implementing supervision and compliance requirements for municipal advisors. The MSRB touted the Rule as “its first dedicated rule for municipal advisors” under the Dodd-Frank...more

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