Before the Bell Breakfast Forum: SEC Municipal Securities Enforcement
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