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SEC.gov | Q&A with HALO Co-Chair Kevin Guerrero

In honor of Hispanic Heritage Month, the SEC is spotlighting Kevin Guerrero, co-chair of the agency's Hispanic and Latino Opportunity, Leadership and Advocacy Committee (HALO). ....

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SEC charges seventh firm for violating limited offering exemption

SEC charges seventh firm for violating limited offering exemption
americanbanker.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from americanbanker.com Daily Mail and Mail on Sunday newspapers.

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SEC charges seventh firm for violating limited offering exemption

SEC charges seventh firm for violating limited offering exemption
bondbuyer.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from bondbuyer.com Daily Mail and Mail on Sunday newspapers.

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Outlook 2023: SEC's pursuit of limited offerings could be MCDC 2.0

The Securities and Exchange Commission's Public Finance Abuse Division began looking in new directions, charging five different firms with violating 15c2-12 limited offering exemptions in addition to going after issuer officials. ....

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Retired SEC enforcer Mark Zehner reflects on landmark muni cases

"The vast majority of muni issuers are trying to do the right thing,” Zehner said. “The vast majority of underwriters and municipal advisors are trying to do the right thing.” ....

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