Under the Securities and Exchange Commission’s (SEC) Municipal Continuing Disclosure Compliance (MCDC) Initiative, issuers and obligated persons can self-report any recent misstatements in primary offering documents concerning secondary market disclosure compliance by December 1, 2014. Underwriters have already submitted their reports. With the last deadline fast approaching, attention will turn to the next phase of this program.

This is the fourth in Ballard Spahr's series of webinars dedicated to the MCDC Initiative. Join us as we discuss what to do if the SEC’s Division of Enforcement contacts you regarding potential violations.

Topics

  • What to expect after self-reporting, or not self-reporting 
  • How the SEC will determine the materiality of any reported misstatement
  • Timing of the SEC’s investigations 

Program

12:00 PM – 1:30 PM ET

Speakers

M. Norman Goldberger, Ballard Spahr
John C. Grugan, Ballard Spahr
Bradley D. Patterson, Ballard Spahr

Continuing Legal Education

There is no cost to attend. 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. For more information, contact Lisa Prickril at 215.864.8252 or prickrill@ballardspahr.com.

Event Materials

Webinar slides >
Webinar replay >