SEC Investigations and Enforcement Actions: A Practical Handbook for Municipal Securities Issuers

March.29.2012

This handbook is designed to provide municipal securities issuers and their staffs with an overview of:

  • the issues the SEC is emphasizing as it seeks to regulate the municipal securities market through enforcement actions;
  • steps to take both in advance of and at the outset of an SEC investigation to help minimize the risk of an unfavorable outcome; and
  • the mechanics of an SEC investigation/enforcement action.