The municipal bond market has recently been under increased scrutiny by the Securities and Exchange Commission’s (SEC) Division of Enforcement. This greater scrutiny, together with the SEC’s Municipalities Continuing Disclosure Cooperation (MCDC) initiative, has increased the chance of an SEC investigation. Join members of Cozen O’Connor’s Public & Project Finance Group and Litigation Department to gain an understanding of what measures you should take if the SEC contacts you.
What You Will Learn:
Recent SEC enforcement actions
What to expect during an SEC inquiry
How to respond to an SEC inquiry
Jonathan G. Lichtenstein, Member, Public & Project Finance
Joseph Dever, Member, Securities Litigation & Enforcement