Tag: municipal bonds

Municipal bond offerings have become a key focus of SEC Enforcement. The agency has brought a series of actions in addition to an initiative that encourages the self-reporting of underwriters in return for reduced sanctions. The Commission’s most recent action, …

SEC Charges Municipal Bond Issuer, Broker With Fraud Read More »

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The SEC filed fourteen settled actions against municipal underwriting firms this week. The settlements were part of a program that commenced in 2014 called the Municipalities Continuing Disclosure Cooperation Initiative. The program offers favorable settlement terms for municipal bond underwriters …

SEC Settles With 14 Municipal Bond Underwriters Read More »

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