On August 20, 2018, the Securities and Exchange Commission (“SEC”) issued Release No. 34-83885 (the “Release”) adding two new events (the “New Events”) to the list of events that must be included in the continuing disclosure...more
8/30/2018
/ Amended Rules ,
Broker-Dealer ,
Compliance Dates ,
Disclosure Requirements ,
EMMA ,
Financial Obligations ,
MCDC ,
MSRB ,
Municipal Bonds ,
Municipal Securities Issuers ,
Municipalities ,
Rule 10b-5 ,
Rule 15c2-12 ,
Securities and Exchange Commission (SEC)
On March 1, 2017, the Securities and Exchange Commission (“SEC”) issued Release No. 34-80130 (the “Release”) proposing several amendments to its Rule 15c2-12 (the “Rule”) that would add two new events to the list of events...more
3/14/2017
/ Annual Statements ,
Broker-Dealer ,
Disclosure Requirements ,
EMMA ,
Financial Statements ,
MSRB ,
Municipal Bonds ,
Municipal Securities Issuers ,
OMB ,
Proposed Amendments ,
Public Comment ,
Securities and Exchange Commission (SEC)
As highlighted in the SEC’s 2012 Municipal Market Report, the SEC has expressed significant concern that many issuers have not been complying with their obligation to file continuing disclosure documents and that federal...more