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Abstract: 

Given the central role of disclosure in an efficient capital market, it is fitting that a panel session examines this topic in detail. Bond lawyer Ann-Ellen Hornidge’s panel includes the head of the municipal securities office at the Securities and Exchange Commission, Paul S. Maco, along with bond lawyer Fredric A. Weber, and analysts Jeffrey M. Wilson and Maureen G. Newman. This panel’s rich and insightful give-and-takefocuses on two scenarios involving a government’s chief financial officer and the request for information from an investor.

Keywords: Reg FD; Rules 10b5-1,10b5-2, 15c2-12; United States v. O’Hagan; NFMA Disclosure Position Paper

Affiliations:  1: Mintz, Levin, Cohn, Ferris, Glovsky & Popeco, P.C.; 2: Securities and Exchange Commission; 3: Saybrook Capital, LLC; 4: Colonial Management Associates.