Rebecca Lawrence

Rebecca Lawrence

Ballard Spahr LLP

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SEC Settles Charges Against Municipal Underwriter for Unfair Practices and Misleading Advertising in Connection With its...

Summary - The U.S. Securities and Exchange Commission (SEC) announced that it has settled charges against an underwriter, its owner, and chief compliance officer for violations of MSRB Rules G-21 on misleading advertising...more

1/15/2021  /  Misleading Statements , MSRB , Rule G-17 , Securities and Exchange Commission (SEC) , Securities Violations

SEC Action on Misleading COVID-19 Disclosures: Implications for the Municipal Market

Summary - The U.S. Securities and Exchange Commission (SEC) announced earlier this month it settled charges against a corporate issuer of registered securities for misleading disclosures about the impact of the COVID-19...more

12/31/2020  /  Coronavirus/COVID-19 , Enforcement Actions , Form 8-K , Misleading Statements , Securities and Exchange Commission (SEC) , Securities Violations
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