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Current Issues Concerning Market Disclosure and Related SEC Enforcement Actions  

Author:  Ann-Ellen Hornidge, Esq..; Paul Maco.; Maureen G. Newman.; Frederic A.  Weber, Esq..

Source: Volume 20, Number 04, Winter 2000 , pp.1-17(17)

Municipal Finance Journal

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As introduced by bond counsel Ann-Ellen Hornidge, the first panel focuses on market disclosure and related enforcement actions by the Securities and Exchange Commission. Paul Maco, director of municipal securities at the SEC, summarizes the enforcement actions from the regulator’s point of view. From her institutional investor perspective, Maureen Newman reviews the NFMA position paper on the topic. Then, bond lawyer Fredric A. Weber examines the reasons behind issuer practices regarding secondary market disclosures.

Keywords: SEC reg 15(c)2-12; disclosure standards; stale information; negotiating disclosure terms

Affiliations:  1: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.; 2: Securities and Exchange Commission; 3: Colonial Management Associates; 4: Fulbright & Jaworski.

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