2016 DLE-Sept 14: Municipal Securities-MS1

Sep 14, 2016 01:00pm -
Sep 14, 2016 02:30pm

Event Description

September 14- Municipal Securities: MS1

Expanding Municipal Securities Enforcement: Profound Changes for Issuers and Officials

This presentation will cover the Securities and Exchange Commission’s Municipalities Continuing Disclosure Cooperation (MCDC) Initiative and lessons learned for issuers and underwriters.

The discussion will cover the nature of the MCDC Initiative, allegations made by the SEC in MCDC actions, with examples of the antifraud violations identified, and the remedies and other consequences for issuers, underwriters and the market as a whole consequence. This includes the movement toward issuer adoption of disclosure policies and procedures, and the structuring and implementation of such policies and procedures. In addition, the presentation also covers the expanding SEC reliance upon antifraud enforcement actions as a means of indirectly regulating municipal securities issuers, why the Commission is utilizing that approach, recent actions of interest, and notable SEC “firsts” since early 2013.

Speakers: Robert Doty, Elaine Greenberg, John McNally



Event Type:Distance Learning Event
Category:Distance Learning
Early registration ends on Aug 20, 2016.
Regular registration starts on Aug 21, 2016 and ends on Sep 12, 2016.
Late registration starts on Sep 13, 2016.
(GMT-05:00) Eastern Time (US & Canada)


Registration Fees
Fee TypeEarlyRegularLate
 2016 DLE-Sept 14
Member Fee: $0.00$0.00$0.00
Non-Member Fee: $99.00$99.00$99.00