In 2013, we watched as the Securities and Exchange Commission pursued enforcement actions against local governments and individuals. Even their elected and appointed officials were found liable. The SEC's municipal market enforcement priorities were:

  • Municipal securities issuers and their officials
  • Individual liability of transaction participants
  • Secondary market disclosure
  • Public pension accounting and disclosure
  • Recidivist bad behavior
  • Disclosure related to tax law violations

In this intensive enforcement climate, issuers, underwriters, and municipal advisors can't afford to be uninformed of potential liabilities. During this webinar, Ballard Spahr attorneys will discuss what you can expect the SEC to focus on in the municipal market in 2014 and steps you can take now to avoid becoming its next target.

More information on the SEC's municipal market enforcement actions in 2013 can be found here


12:00 PM - 1:00 PM ET  | Program


John C. Grugan, Partner

James A. Mitchell, Partner

Bradley D. Patterson, Partner

This program is not eligible for continuing education credits. Please register at least two days before the webinar. Login details will be sent to all approved registrants approximately 24 hours before the webinar. For more information, contact Lisa Prickril at

Program Contact

Lisa M. Prickril