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Before the Bell Breakfast Forum: SEC Municipal Securities Enforcement

November 12, 2015
7:15 - 8:30 a.m.
The Townsend Hotel, 100 Townsend Street, Birmingham, MI 48009

Area investment advisors, registered representatives, and trust officers are invited to join us for breakfast and a presentation by Miller Canfield lawyer Patrick F. McGow. 

Pat will be discussing recent SEC enforcement actions in the municipal securities arena.  This will include a discussion of the SEC’s authority to regulate municipal securities, the SEC’s Municipalities Continuing Disclosure Cooperation (MCDC) initiative and recent announcements of settlements against broker-dealers as part of the MCDC initiative.  This will also include discussion of recent enforcement actions against governmental entities, municipal officials, broker-dealers and underwriting firms.

Advance registration is required. No cost to attend.

Sandy Bera | 248.267.3345