Ernesto Lanza

Ballard Spahr LLP

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Latest Posts › Securities and Exchange Commission (SEC)

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White Paper: Structured Data is Coming to the Municipal Securities Market–Now What?

The Financial Data Transparency Act of 2022 (FDTA), enacted by Congress as Title LVIII of the National Defense Authorization Act for Fiscal Year 2023, was signed into law by President Biden on December 23, 2022. The FDTA is...more

1/6/2023 / Disclosure Requirements , Investors , MSRB , Municipal Securities Issuers , Municipal Securities Market , Rule 15c2-12 , Securities and Exchange Commission (SEC)

SEC Brings First Charges Against Muni Market Underwriters Alleging Failure to Meet Requirements for Limited Offering Disclosure...

Summary - The Securities and Exchange Commission (SEC) recently announced enforcement proceedings against four municipal market underwriters for alleged violations of municipal bond disclosure requirements. Three of the...more

9/22/2022 / Disclosure Requirements , Enforcement Actions , Municipal Bonds , Securities and Exchange Commission (SEC) , Securities Violations , Underwriting

Municipal Bond Market Impact of the SEC's Mutual Fund ESG Proposals

Summary - Two pending proposals could significantly affect how mutual and other funds approach their ESG investments in municipal bonds. If adopted by the Securities and Exchange Commission, the proposals could result in...more

9/19/2022 / Corporate Governance , Disclosure Requirements , Environmental Social & Governance (ESG) , Municipal Bonds , Securities and Exchange Commission (SEC)

SEC Risk Alert for Municipal Advisors Highlights Key Compliance Issues

Summary - The Security and Exchange Commission last month released a Risk Alert to notify municipal advisors of key compliance issues. The SEC’s Division of Examinations adds client disclosure concerns to the list of most...more

9/9/2022 / Compliance , MSRB , Municipal Advisers , Securities and Exchange Commission (SEC)

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