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Municipal Securities Regulation and Enforcement - 2024 Mid-Year Review

In the first half of 2024, the Financial Industry Regulatory Authority (FINRA) issued several fines and suspensions against participants in the municipal market, including for violations of its registration, reporting,...more

No Prevailing Wage Requirements for Pennsylvania Conduit Issuers

In an increasingly rare unanimous ruling, the Pennsylvania Supreme Court has affirmed the Pennsylvania Commonwealth Court’s holding that Ursinus College is not subject to prevailing wage requirements for a construction...more

Municipal Securities Regulation and Enforcement: 2023 Mid-Year Review

2023 MID-YEAR REVIEW - In the first half of 2023, several rule changes have been proposed by the Municipal Securities Rulemaking Board (MSRB) and the U.S. Securities and Exchange Commission (SEC), including changes to...more

Business Better Podcast Episode: Is DEI at Risk? Considerations on the US Supreme Court Ruling Against Affirmative Action Programs [Video]

In this episode, we discuss the recent US Supreme Court ruling in the Students for Fair Admissions Inc.'s lawsuits against Harvard University and the University of North Carolina, which challenged the constitutionality of...more

Business Better Podcast Episode: Accelerating Life Sciences: How Accelerators and Education Are Joining Forces to Catapult the... [Video]

In today’s episode, leaders of Ballard’s Life Sciences Industry and Education Industry Teams consider the ongoing trends that they are seeing in both the education industry and the life sciences industry. We discuss sponsored...more

Business Better Podcast Episode: Health Care Delivery Trends: Understanding Micro-Hospitals [Video]

In this episode, we discuss the current trend in the health care industry regarding the development of micro-hospitals, especially in certain rural areas. We explain what a micro-hospital is (and is not), the drivers behind...more

Municipal Securities Regulation and Enforcement: 2022 Year in Review and Look Ahead

As is widely known, the new issue market slowed down in 2022 due to a variety of factors, including rising interest rates, reduced institutional demand resulting from municipal bond fund outflows, inflation and recession...more

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

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

Municipal Securities Regulation and Enforcement: The Year in Review and a Look Ahead

The municipal securities market carried its momentum from the first half of 2021 into a strong finish for the year against the backdrop of continued regulatory and enforcement actions. Despite new variants of COVID-19...more

White Paper: ESG Disclosure in Municipal Offerings

Environmental, Social, and Governance (ESG) bonds have generated increasing investor demand, media attention, and regulatory focus over the past several years. ESG bonds, broadly encompassing “green bonds” and “social bonds,”...more

Municipal Securities Regulation & Enforcement

The municipal securities market started the first half of 2021 strong against the backdrop of regulatory and enforcement actions, all while the remnants of COVID-19 continued to impact travel, commerce, and the economy....more

SEC Settles Charges Against Municipal Underwriter for Unfair Practices and Misleading Advertising in Connection With its...

Summary - The U.S. Securities and Exchange Commission (SEC) announced that it has settled charges against an underwriter, its owner, and chief compliance officer for violations of MSRB Rules G-21 on misleading advertising...more

Treasury Publishes Updated FAQs – Coronavirus Relief Fund Payments for State, Local, and Tribal Governments

The U.S. Department of the Treasury (Treasury) recently updated its frequently asked questions (FAQ) related to the CARES Act. Treasury published the Coronavirus Relief Fund Guidance for State, Territorial, Local, and Tribal...more

UPDATED: New York Federal Reserve Expands Eligible Issuers and Provides Indicative Pricing and Sample Transaction Documents for...

The Federal Reserve Bank of New York (the New York Fed) has announced an expansion of its $500 billion Municipal Liquidity Facility to allow participation by designated cities and counties that do not meet the population...more

UPDATED: Treasury Publishes FAQs – Coronavirus Relief Fund Payments for State, Local, and Tribal Governments

The CARES Act was signed into law by President Trump on March 27, 2020. The CARES Act established a $150 billion Coronavirus Relief Fund (Fund), through which the U.S. Department of Treasury (Treasury) will make direct...more

UPDATED: Federal Reserve Provides Pricing and Sale Updates to Municipal Liquidity Facility

On May 11, 2020, the Federal Reserve Board (the Federal Reserve) announced further updates to its Municipal Liquidity Facility loan program (the Facility) authorized under Section 13(3) of the Federal Reserve Act to provide...more

UPDATED: Treasury Publishes FAQs – Coronavirus Relief Fund Payments for State, Local, and Tribal Governments

The CARES Act was signed into law by President Trump on March 27, 2020. The CARES Act established a $150 billion Coronavirus Relief Fund (Fund)...more

Updates to The Federal Reserve Board’s New Municipal Liquidity Facility

On April 27, 2020, the Federal Reserve Board announced updates to its Municipal Liquidity Facility loan program (the Facility) authorized under Section 13(3) of the Federal Reserve Act to provide lending support to states,...more

Coronavirus Relief Fund Payments for State, Local, and Tribal Governments

The Coronavirus Aid, Relief, and Economic Security (CARES) Act was signed into law by President Trump on March 27, 2020. ...more

The Fed Throws a Cash Flow Lifeline to State and Local Governments

The Federal Reserve Board’s New Municipal Liquidity Facility - On April 9, 2020, the Federal Reserve Board announced a new Municipal Liquidity Facility loan program (the Facility) authorized under Section 13(3) of the...more

Disclosing COVID-19 Risks and Impacts in Connection with Municipal Securities

Given the far-reaching consequences of the COVID-19 pandemic, including unprecedented financial and operational impacts, volatile municipal market conditions and the potential for a significant economic contraction...more

SEC Requires Addition of Two New Events to Continuing Disclosure Undertakings Beginning February 27, 2019

Beginning February 27, 2019, municipal market issuers and obligated persons must add the following two new events—relating to their indebtedness and financial health—to the list of reportable events in their continuing...more

New Economic Development Opportunities Possible Thanks to Improved Marketability of Philadelphia Tax Increment Finance...

The tools available to the City of Philadelphia to finance community and economic development projects have been enhanced under a new law that authorizes the imposition of special assessments to support tax increment finance...more

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