News & Analysis as of

Secondary Markets Securities and Exchange Commission (SEC) Disclosure Requirements

Adler Pollock & Sheehan P.C.

Do Your Assets Include Unregistered Securities? This Asset Class Requires Special Planning

When it comes to estate planning, addressing all your assets should be a priority. However, certain assets require greater attention than others. For example, if your assets include unregistered securities, such as restricted...more

Butler Snow LLP

COVID-19 and Secondary Market Disclosure

Butler Snow LLP on

Our thoughts are with you, your loved ones and organizations as we all navigate this public health crisis together. We are providing this alert to our public finance clients and other professionals regarding COVID-19 and its...more

Polsinelli

The Applicability of Anti-Fraud Rules to Certain Statements and Information made by Obligated Persons of Municipal Securities – A...

Polsinelli on

On February 7, 2020, the Securities and Exchange Commission’s (the “SEC”) Office of Municipal Securities released its Legal Bulletin No. 21 (the “Bulletin”) regarding the applicability of the anti-fraud provisions of the...more

White & Case LLP

SEC: Time to revamp securities offering exemptions

White & Case LLP on

SEC is seeking public comments in its concept release in an effort to simplify, harmonize and improve the existing exempt offering framework. On June 18, 2019, the Securities and Exchange Commission (the “SEC” or the...more

Morrison & Foerster LLP - JOBS Act

A Conversation with Chair White

Chair White spoke at the Annual Securities Regulation Institute in San Diego last week and participated in a Q&A session. We have highlighted below commentary on topics of interest to our readers....more

Butler Snow LLP

Municipalities Continuing Disclosure Cooperation Initiative (MCDC)

Butler Snow LLP on

We want to make you aware of a new Securities and Exchange Commission enforcement initiative that impacts issuers of municipal bonds or other governmental securities or other persons obligated to provide secondary market...more

Ballard Spahr LLP

Federal Government Steps Up Monitoring of Distressed Municipalities

Ballard Spahr LLP on

Multiple news outlets have reported that the U.S. Treasury Department has created an Office of State and Local Finance tasked with monitoring the distressed local government sector of the municipal finance market. Kent...more

Ballard Spahr LLP

SEC Fraud Charges against Harrisburg, Pa., Have Implications for Secondary Market Disclosures

Ballard Spahr LLP on

The Securities and Exchange Commission (SEC) recently charged the City of Harrisburg, Pennsylvania (the City), with misleading investors about its financial health in the annual State of the City Address, as well as in its...more

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