Britt Cass Steckman

Bracewell LLP

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SEC Modifies MCDC Terms: Extends Issuer Deadline to 12/01/2014, Lowers Penalty Cap for Small Underwriters; Recognizes Pre-EMMA...

The Securities and Exchange Commission has announced modifications to the terms of its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. In a press release issued late in the afternoon July 31, 2014, the SEC...more

8/1/2014 / Deadlines , EMMA , MCDC , Securities and Exchange Commission (SEC) , Underwriting

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 , Securities and Exchange Commission (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 , Section 10 of the Exchange Act , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Exchange Act , Underwriting

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