Posts tagged SEC Enforcement Division.
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SEC Modifies Municipal-Securities Enforcement Initiative
Responding to industry complaints, the SEC's Enforcement Division modified its Municipal Continuing-Disclosure Cooperation ("MCDC") Initiative to (a) extend the deadline for issuer disclosures until December 1 (from September 1) and (b) implement a tiered set of caps on fines, more proportional to underwriters' revenues. Announced last March, the Initiative offers standardized terms for settlement of administrative proceedings for those municipal-securities-market participants who admit their participation in securities offerings having mis-stated a public ...
Posted in: SEC
Tags: MCDC, Municipal Continuing Disclosure Cooperation Initiative, Municipal-Securities Enforcement Initiative, SEC, SEC Enforcement Division, Securities Exchange Commission
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