Home      Login

Abstract: 

Recent enforcement actions by the Securities and Exchange Commission are chronicled by Paul Maco who is the director of the SEC’s office of municipal securities. He provides the context, a listing of the enforcement actions, and the categories of market participants targeted. It is a very instructive piece that should be required reading for everyone involved in the issuance and management of municipal securities. The presentation concludes with a summary of more than 145 actions.

Keywords: SEC enforcement actions; administrative proceedings; injunctive proceedings; Reports under Section 21(a) of the Exchange Act;

Affiliations:  1: SEC Office of Municipal Securities.