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Insight

Recent Developments in Securities Regulations and Enforcement

by James Hernandez, Alison Radecki and Christine Reynolds | January.09.2019

SEC | Securities Exchange Commission

On November 8, 2018, three Orrick partners, joined by Rebecca Olsen, Director of the S.E.C.’s Office of Municipal Securities, presented a webinar ...

Insight

Public Charter Schools: Borrowing With Tax-Exempt Bonds (Third Edition)

by Eugene Clark-Herrera | January.09.2019

Public Charter Schools: Borrowing With Tax-Exempt Bonds (Third Edition)

The main purpose of this booklet is to provide public charter schools and their stakeholders relevant information about the benefits of tax-exempt ...

Insight

Webinar: Current Developments in Securities Regulation and Enforcement

by James Hernandez, Alison Radecki and Christine Reynolds | November.08.2018

Orrick webinar

Orrick and The Bond Buyer held a webinar discussing the current developments in securities regulation and enforcement.

Insight

Disclosure Obligations of Issuers of Municipal Securities

October.25.2018

SEC | Securities Exchange Commission

Orrick has published a Second Edition of our booklet titled "Disclosure Obligations of Issuers of Municipal Securities."

Finance Sector

Insight

SEC Adopts Amendments to Rule 15c2-12

by Robert Feyer, Christine Reynolds, James Hernandez and Alison Radecki | August.23.2018

financial

In mid-August, the SEC adopted amendments to its Rule 15c2-12 (the “Rule”), following 18 months of review of comments made to its original proposed ...

Finance Sector

Insight

SEC Continues Public Finance Enforcement Agenda – Two Recent Cases Filed

by Robert Feyer, Roger Davis and Alison Radecki | September.26.2017

financial

Just in the last weeks of August, the Public Finance Abuse Unit of the SEC announced settlements of securities fraud actions in two cases.

Insight

Why Disclosure Really Matters Now - The S.E.C. Enforcement Agenda

by Robert Feyer, George Greer and Alison Radecki | July.27.2017

Public Finance webinar

In this webinar, Orrick lawyers discuss S.E.C. enforcement with Public Finance Abuse Unit Chief Leeann Ghazil Gaunt.

Insight

Continuing Disclosure after MCDC

by Eileen Heitzler, Robert Feyer and Alison Radecki | February.05.2015

webinar

This webinar examines the SEC’s Municipal Continuing Disclose Compliance Initiative, which has shone a spotlight on continuing disclosure.

Insight

The S.E.C. is Serious About Continuing Disclosure: What Issuers, Obligors and Underwriters Need to Know About the New Self-Reporting Initiative

by Alison Radecki and Robert Feyer | May.14.2014

SEC Serious About Continuing Disclosure

The SEC in 2013 for the first time brought enforcement actions arising from violations of continuing disclosure obligations pursuant to Rule 15c2-12.

Insight

Orrick and BLX Update on Municipalities Continuing Disclosure Initiative

by Roger Davis, George Greer, Robert Feyer and Alison Radecki | April.09.2014

Orrick’s Public Finance and Securities Litigation & Regulatory Enforcement lawyers issued an alert regarding a cooperation initiative launched by the ...

Insight

July 1st will be here sooner than you think: Have you analyzed the Municipal Advisor Rule to see how it affects you?

by Alison Radecki and Eileen Heitzler | March.06.2014

Municipal Advisor Rule

The Dodd-Frank Wall Street Reform and Consumer Protection Act added a new requirement that "municipal advisors" register with the SEC.

Insight

Post-Issuance Tax Compliance and Continuing Disclosure Responsibilities for Issuers and Borrowers of Tax-Exempt Bonds

by Edwin Oswald, Alison Radecki and Aviva M. Roth | October.21.2013

Public Finance Green Books_740x360

Lawyers from Orrick’s Public Finance and Tax teams collaborated on a book explaining the concept of post-issuance compliance—an area of particular ...