The U.S. Securities and Exchange Commission (SEC) remains focused on disclosure in the municipal securities market. The SEC has stated that disclosure policies and procedures help prevent violations of the federal securities laws. The SEC has also routinely highlighted the need for disclosure training, and many disclosure policies and procedures require periodic disclosure training.
The training session will address the following topics:
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federal securities laws obligations;
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recent SEC enforcement actions;
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recent Rule 15c-12 amendments; and
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disclosure best practices.