The U.S. Securities and Exchange Commission (SEC) announced enforcement actions on September 30, 2015 against 22 municipal-bond underwriting firms for violations in municipal bond offerings. It was the second round of filings this year against underwriters under the SEC's Municipal Continuing Disclosure Compliance (MCDC) Initiative, a self-reporting program. The MCDC cease-and-desist orders provide examples of the types of conduct the SEC believes constitute securities law violations. Join us as we discuss and analyze orders issued by the SEC thus far and what may be to come.

Date & TIME

Thursday, October 8, 2015
12:00 PM - 1:00 PM ET

Presenters

M. Norman Goldberger
Securities Litigation and Enforcement

John C. Grugan
Securities Litigation and Enforcement

Tesia N. Stanley
Public Finance

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 prickrill@ballardspahr.com.

Event Materials

Program Contact

Lisa Cheresnowsky
CheresnowskyL@ballardspahr.com

Related Practices

Municipal Securities Regulation and Enforcement
Securities Enforcement and Litigation
Public Finance