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SEC Charges Underwriters with Violations of Rule 15c2-12

​​​​​​​Last week, the SEC entered orders against three underwriters for failing to comply with Securities Exchange Act of 1934 (“Exchange Act”) Rule 15c2-12. These actions serve as a good reminder for compliance checks and...more

SEC Charges School District, the District’s Former Chief Financial Officer and the District’s Auditor with Violations of Federal...

On March 16, 2022, the Securities and Exchange Commission (“SEC”) entered an order against a school district (Crosby Independent School District (the “District”), located in a suburb of Houston, Texas) and against the...more

SEC Charges School District and the District’s Former Chief Financial Officer with Violations of Securities Laws in a 2018 Bond...

On September 16, 2021, the Securities and Exchange Commission (“SEC”) entered an order against a school district (Sweetwater Union High School District (the “District”) in San Diego County, California) and charged the school...more

Iowa Governor Signs Legislation Related to Iowa County Hospitals’ Authority to Borrow Money

On June 30, 2020, Governor Reynolds signed into law House File 2643 (“HF 2643”) relating to various appropriations to and legal and regulatory responsibilities for state and local governmental entities. Specially related to...more

CARES ACT Municipal Liquidity Facility

On April 9 the Federal Reserve announced as part of the CARES Act a short term liquidity facility related to governments and referred to as The Municipal Liquidity Facility (the “MLF”). Authorized under Section 13(3) of the...more

Iowa Governor Proclamation Temporarily Allows County Hospitals to Borrow Money For Operations Not Solely Secured by Revenues

On March 31, 2020, Governor Reynolds issued a Proclamation of Disaster Emergency (the “Proclamation”) which allows Iowa county hospitals to borrow money for operational purposes and secure such borrowing from means other than...more

CARES Act Summary for Public Finance

In a potentially sweeping boost to public finance, the CARES Act (the “Act”) authorizes the direct purchase by the Federal Reserve of state and local government obligations, as well as the provision of debt guarantees and...more

Guidance Regarding Electronic Meetings in Iowa

Due to the unprecedented outbreak of COVID-19 across the United States and the guidance regarding social distancing, many governmental entities across the State of Iowa are scrambling to grapple with the provisions of Iowa...more

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