Satisfying Municipal Market Continuing Disclosure Standards Set by SEC Enforcement Actions

January 3, 2018

Reprinted with permission from Practical Law, January 2018

The local government attorney's role in issuing municipal bonds is often limited to advising on the government entity's authority, public notice and meeting requirements, and other legal issues of local concern. The oversight and obligations that must be complied with, however, are often not familiar functions of bond issuance. Failure to meet these obligations is increasingly resulting in the SEC filing fraud charges against the local government and its officers.

This article introduces the regulatory environment to municipal issuers by providing a brief introduction to the regulatory regime and posture of enforcement agencies and tips on creating compliance procedures and policies. Read More.

Copyright © 2018 by Ballard Spahr LLP.
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